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Table of Contents

Workbook Subject Page

Pass Guarantee Scheme Training Agreement 1/2

Examination Administration Information 3

NEBOSH Terms & Conditions and Procedures Information 4

Typical Areas Identified by NEBOSH where Students Lose Marks 5

NEBOSH Command Word Explanation 6/7

NEBOSH NGC1 Module Timetable 8/9

Day 1 Homework Exercises 15/17

Day 1 NEBOSH NGC1 Question Analysis Exercise 18

Day 1 Practice Questions 19/22


Day 2 NEBOSH NGC1 Question Analysis Exercise 27/28











Mock Examination Papers 1-6 53-61

Framework Answers to Mock Examination Papers 1-6 63-101

NGC1 Question Analysis Exercise Answers – Day 1-5 103-112

Answers to Day-by-Day Questions 113-124

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INTENTIONALLY LEFT BLANK

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NEBOSH Delegate ‘Pass Guarantee Scheme’ Training Agreement

1. This Training Agreement governs the ‘Guaranteed Pass Scheme’ provided to the student/delegate by RISK and Safety Management Services Ltd (RISK) for the purpose of equipping the student/delegate with the required theoretical knowledge and techniques necessary to successfully pass the relevant course examination(s).

“Our Guaranteed Pass Scheme means: We guarantee to support, train, coach and mentor you Support for you when you need it, not just when you are spending Provide you with health and safety support, the latest legislation and complianceIn order to become eligible for this scheme, the account must have been paid in full prior to the course start date, all training days on the original course must have been attended in sequential order, the student must have completed any homework, assessments, portfolios/reports and self-study tasks in the time allocated, attended the original examination and obtain above 30 marks and pay any applicable re-registration and examination fees. Please note:-If booking a full course (i.e. 1 or more modules) the terms and conditions relating to the pass guarantee scheme revert to a full course booking (if discount applied) In the event of a referral – Should the delegate wish to re-sit the exam, they must attend all of the training days again. RISK reserves the right to amend, alter and update the content of the “Pass Guarantee Scheme” at any time.

2. The student/delegate agrees to:a. Attend all teaching days within the core course tutored times;b. Use every effort to achieve the standards of study specified in this course

documentation by achieving success in all course formative assessments (exercises and practice questions), failure to do so will result in a, ‘less than 30 mark referral’ which will affect the Guaranteed Pass available (see item 4);

c. Complete private study by reading the relevant chapters of the propriety course textbook to reinforce class tutored material;

d. Complete all homework questions in a style appropriate to the examination (i.e. not bullet points unless appropriate to the question);

e. Provide themselves with their own writing paper, pens, rulers etc to enable themselves to make any additional notes they wish to take.

3. RISK agrees to provide:a. A tutor on all training days for the core course tutored times;b. A propriety study textbook;c. A delegate workbook incorporating the course timetable; a copy of the NEBOSH Terms

Conditions and Procedures, examinations techniques and administrative information; practice day-by-day questions (outline answers given on the following day of the course); practice mock examination papers with outline answers; and any additional revision material for subject areas as appropriate.

d. Where appropriate, a one-to-one meeting with a course tutor to discuss progress;e. An out of hour’s telephone support line (if the tutor is not immediately available RISK

will contact you within 24-hours);f. A log in area for the download of further revision materials.

NGC1 Workbook May 19.doc

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4. RISK Guaranteed Pass Matrixa. Less than 30 Marks – NEBOSH Referral – Not eligible for a RISK Guaranteed Pass,

only a discounted re-sit. Due to the delegates failure to commit fully to the scheduled training programme as detailed in 2b and 2c above.

b. 31 – 45 Marks – NEBOSH Referal – Elidgible for a RISK Guaranteed Pass following the completion of 4 exam papers, hand written and submitted for review by a NEBOSH Consultant/Tutor, Feedback will be provided to ensure the delegate reaches the standard for the re-sit package, (if not additional revision documentation will be provided). The successful delegate will then be contacted with the opportunity to attend a future course.

c. 45 and above – NEBOSH Pass


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EXAMINATIONS ADMINISTRATION INFORMATION

Qualifying periodsA Pass must be obtained in all three units within a five-year period in order to qualify for the award of the NEBOSH National General Certificate. If you have claimed exemption from Unit NGC1 and achieved a Pass in the other two units, you will also qualify for the award.

Referrals will be granted in individual components where candidates have failed to reach a satisfactory standard. If you have been referred in an individual component (<45% for Units NGC1 and NGC2 and <60% for Unit NGC3) you may re-sit just the component(s) in which you have been referred providing that you re-sit within five years of the result declaration date of the first successful unit.

Awarding and grading criteriaGrading criteria shall not apply to individual units but candidates will be informed of the unit mark achieved. Candidates who are successful in an individual unit will be issued with a Unit Certificate, normally within eight weeks of the issue of the result notification.

The aggregate mark of the three unit marks is used to determine a grade for the award according to the following criteria:

Distinction 210 marks or more

Credit 180 – 209 marks

Pass 150 – 179 marks

Qualification parchments will normally be issued within eight weeks of the issue of the result notification. Candidates may, however, wish to re-sit a successful unit for the purpose of improving a grade. In this case, candidates must inform NEBOSH in writing of their intention to re-sit a successful unit within one month of the date of issue of the result notification for the third successfully completed unit. Candidates who fail to do this will be issued with a parchment and will be deemed as having completed the award.

Enquiries about resultsIf you have received a result that is at variance with your reasonable expectations, you should discuss this first with your tutor. If, following discussion, you wish to make an ‘enquiry about result’ (EAR), this must be submitted in writing within one month of the date of issue of the result to which it relates. A Type 1 enquiry is for a clerical check on the correct addition and processing of marks; a Type 2 enquiry includes a clerical check (as Type 1), a re-mark of the script and a summary report relating to overall performance. Requests for special consideration that have not been submitted previously cannot be accepted as part of the enquiry procedures. Please note that NEBOSH employs detailed and thorough procedures before results are declared such that few enquiries are likely to justify a change of result. Full details of the EAR and appeal procedures are available on request.

NEBOSH Enquiries about Results (EAR) and Appeals ArrangementsCandidates are to be aware of the NEBOSH policy on enquiries about results and the appeals process. The document covering these processes can be found at:

http://www.nebosh.org.uk/students/currently_studying/default.asp?cref=42&ct=2


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http://www/

NEBOSH TERMS AND CONDITIONS AND PROCEDURES INFORMATION

NEBOSH Student Terms and ConditionsStudents are to be aware that NEBOSH produce a Student Terms and Conditions document which can be found in the students section of the NEBOSH website at:https://www.nebosh.org.uk/policies-and-procedures/student-terms-and-conditions/

NEBOSH Enquiries about Results (EAR) and Appeals ArrangementsCandidates are to be aware of the NEBOSH policy on enquiries about results and the appeals process. The document covering these processes can be found at:https://www.nebosh.org.uk/policies-and-procedures/enquiries-about-results-ears/

The Role of Scottish Qualification Authority (SQA) Accreditation in AppealsIf a candidate is dissatisfied with the outcome of an Enquiry about result request they may proceed to a two stage Appeals process.

If following the outcome of a Stage 2 Appeal, the candidate remains dissatisfied and where the relevant NEBOSH qualification is accredited by the Scottish Qualification Authority (SQA), they may seek regulatory advice form the SQA Accreditation. A list of NEBOSH qualifications accredited by SQA Accreditation can be found on their website at:

https://www.nebosh.org.uk/about-nebosh/our-recognition/

Typical Areas identified by NEBOSH where Students Lose Marks


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https://www.nebosh.org.uk/about-nebosh/our-recognition/

https://www.nebosh.org.uk/policies-and-procedures/enquiries-about-results-ears/

https://www.nebosh.org.uk/policies-and-procedures/student-terms-and-conditions/

Candidates misread/misinterpreted the questionCandidates misreading or misinterpreting the question is by far the most common cause of candidates not gaining the maximum marks available.Examiners suggest that while many candidates do begin their answer satisfactorily and perhaps gain one or two marks, they then lose sight of the question and include irrelevant information. Although further points included in an answer can relate to the general subject area, these points are not focused on the specific learning outcome and marks cannot be awarded.Underlining or highlighting key words can assist in keeping focused on the salient points and simple mind maps or answer plans can also be useful. Maps and plans should be kept simple so as not to use up too much examination time.

Candidates did not respond effectively to the command The majority of cases where command words are not observed relate to insufficient detail being given by a candidate in their examination answer. A significant number of candidates, irrespective of the command word given in the question, provide all answers in the form of a brief list of one or two words. This would normally not be sufficient to gain marks where the command word given was ‘outline’, ‘explain’ or ‘describe’, all of which require answers of more than one or two words.

Candidates unnecessarily wrote the question down Advice included on Certificate question papers suggests that 30 minutes should be allocated for the answer to the long 20-mark question, and 90 minutes should be allocated to the answers for the remaining ten, 8-mark short questions. Therefore, there are around 9 minutes available to answer an 8-mark question. This time will be required for reading the question properly at least twice, developing an answer plan, and then committing the answer to paper while regularly referring back to the question in order to maintain focus

Candidates provided rote-learned responses that did not fit the question

It is clear that there are a significant number of candidates who seem to recite answers in the examination that have been rote-learned in advance and do not answer the question. While knowledge of material forms a part of the study for a Certificate-level qualification, a key aspect being assessed is a candidate’s understanding of the subject and reciting a pre-prepared and memorised answer will not show a candidate’s understanding. In fact, if a candidate gives a memorised answer to a question that may look similar, but actually is asking for a different aspect of a topic in the syllabus, it shows a lack of understanding of the subject and will inevitably result in low marks being awarded for that answer.

Candidates repeated the same points but in different ways / Candidates provided the same answer to different questions There are instances where candidates repeat very similar points in their answers, sometimes a number of times. This is easily done in the stressful environment of the examination. However, once a point has been successfully made and a mark awarded for it, that mark cannot be awarded again for similar points made later in the answer.

Candidates did not answer all of the questions

It has been noted that a number of candidates do not attempt all of the questions and of course where a candidate does not provide an answer to a question, no marks can be awarded. This seriously affects the potential marks available and the possibility of achieving a pass.

There can be several reasons for this issue: running out of the allocated time for the examination, not knowing the answer to the question, or forgetting to answer a question.

If the subject of the question is unfamiliar or the answer is not known, then it will be challenging to provide an answer.There is always the risk of a candidate ‘going blank’ in an examination situation, in which case candidates should be prepared with some techniques to help. Rather than trying to remember what NGC1 Workbook May 19.doc

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was taught or what has been read, ask yourself ‘what would I do, in this situation?’. Reference to personal application or experience is sometimes enough to stimulate an answer that otherwise may have been missed. Alternatively, candidates can go back to first principles and break a question down into elements such as ‘people’, ‘equipment’, ‘materials’ and the ‘working environment’. Approaching a question in small sections can minimise the risk of being overwhelmed by it as a whole.

Running out of time can be avoided by having an examination time plan and working to it.

Candidates did not allocate enough time to the question / Time management In a number of cases question 1 is left until last or later in the question paper and does not appear to be answered completely. Other candidates appear to rush the last one or two questions by providing very brief or bullet point answers, even when these questions require an outline. This indicates a lack of time management.

Candidates’ handwriting was illegible Sometimes Examiners have difficulty in reading the handwriting of some candidates.

NEBOSH Command Words Examiners’ Report ExplanationThe following command words are listed in the order identified as being the most challenging for candidates:

ExplainThe command word ‘explain’ requires the candidate to provide an understanding of the subject of the question and will usually be used in conjunction with ‘why’ or ‘how’. Such as ‘explain how an interlocked guard operates’ or ‘explain why a forklift truck may overturn’. Some candidates approach an ‘explain’ question the same as an ‘outline’ and provide a number of individual points rather than providing an explanation as to how something operates or why something occurs. While some candidates do answer such questions sufficiently and satisfactorily, other candidates have difficulty in explaining in a logical sequence and many repeat the same point.

OutlineThe command word ‘outline’ is by far the most challenging for candidates. Referring to the NEBOSH guidance on command words available on the NEBOSH website, ‘outline’ means “To indicate the principal features or different parts of”. Many candidates do not give sufficient detail in order to warrant an ‘outline’ answer. The NEBOSH guidance on command word states that “an exhaustive description is not required. What is sought is a brief summary of the major aspects of whatever is stated in the question”. If the use of the command word in everyday language or conversation is considered it may help the candidate understand what is required. If asked to ‘outline the risks to an operator when manually closing a valve’ an answer such as ‘cuts, bruises, burns and strains’ would be insufficient as this represents a listed answer. However, ‘cuts from contact with sharp edges of the hand wheel, bruises from impact with adjacent plant items, burns from contact with adjacent uninsulated pipe work and strains from using excessive force’ would be sufficient.

DescribeThe command word ‘describe’ clearly requires a description of something. The NEBOSH guidance on command words says that ‘describe’ requires a detailed written account of the


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distinctive features of a topic such that another person would be able to visualise what was being described. If asked to describe the clock in the examination room, a person would have little difficulty in doing so and would most probably refer to its shape, its size, the colour of the clock and the style of numerals. Answers to such a question would almost certainly not result in general unconnected information about clocks, the history of clocks, or an explanation of why the clock is present in the room. Candidates should consider the general use of the command word when providing examination answers.

Identify

‘Identify’ questions require the name or title of an item, such as, ‘identify the effects of electricity on the human body’, or ‘identify the features of a vehicle route’. In most cases one or two words will be sufficient and further detail will not be required to gain the marks. For example, if asked to ‘identify types of equipment found in an office’ appropriate answers could be personal computer, printer, telephone, photocopier, etc. There would be no need to embellish those points with a description of the equipment or its function. However, in contrast to ‘outline’ answers being too brief, many candidates feel obliged to expand ‘identify’ answers into too much detail, with the possible perception that more words equals more marks. This is not the case and course providers should use the NEBOSH guidance on command words within their examination preparation sessions in order to prepare candidates for the command words that may arise.

Give‘Give’ questions require a statement that is relevant to the subject asked for in the question but additional explanation is not required. Often, ‘give’ questions ask for the meaning of a particular term. While detailed explanation of the application of the term would not be required, a correct knowledge of the term itself is needed in order for the Examiner to award marks.


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NEBOSH NGC1 Module TimetableDays may be inter-change dependent on available of specialist tutors.With regard to the following training days, the breaks detailed opposite are scheduled within the programme (timings are approximate).

Morning Break 10:30 to 10:50Lunch Break 12:30 to 13:00Afternoon Break 14:30 to 14:50

NGC1 Day 1

MorningElement 1

Foundations in H&S +

Element 5RIDDOR & 1st

Aid

Introduction to Guaranteed Pass Scheme and Delegate portfolios The scope and nature of occupational health and safety The moral, legal and financial reasons for maintaining and promoting health

and safety Reporting and recording of accidents and incidents and the requirements of

The Reporting of Injuries Diseases and Dangerous Occurrences Regulations (RIDDOR) 2013

First Aid

AfternoonElement 1 continued

Legal framework for regulation of health and safety including sources and types of law

Common Law tort of negligence (including defences) and vicarious liability. Judicial precedence duty of care of individuals and employers to

employees. Homework Questions for Day 1

NGC1 Day 2Morning

Element 1continuedElement 2

H&S Management

Systems

Answers to Homework Questions The scope, duties and offences of employers, managers, employees and

others under the HASAWA 1974 Corporate Homicide and Corporate Manslaughter The purpose and importance of setting policy for health and safety


Key features and appropriate content of an effective health and safety policy The key elements of a health and safety management system: Plan, Do,

Check, Act Check Portfolios Homework Questions for Day 2

NGC1 Day 3

MorningElement 4

H&S Management

System – Planning

Answers to Homework Questions The scope, duties and offences of employers, managers, employees and

others under the Management of H&S at Work Regulations 1999 The Principles of Control (MHSWR Schedule 1) Principles and practice of risk assessment Sources of health and safety information

AfternoonElement 4continued

Human Factors and Developing a Positive Health and Safety Culture Concept of health and safety culture and its significance in the management

of health and safety culture in an organisation continued How health and safety behaviour at work can be improved Check of Portfolios Homework Questions for Day 3


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NGC1 Day 4

MorningElement 4

H&S Management

System – Planning continued

Answers to Homework Questions Safe Systems of Work and Permits to Work Factors that should be considered when developing and implementing a

safe system of work for general work activities Role and function of a permit to work system and Planning for Emergencies

AfternoonElement 3

H&S Management

Systems – Organising

Organisational health and safety roles and responsibilities of employers, directors and managers

Concept of health and safety culture and its significance in the management of health and safety culture in an organisation

The Legal and Organisational health and safety roles and responsibilities of clients and their contractors

Construction (Design and Management) Regulations 2015 Applicability, Duty Holders and Duties Check of Portfolios Homework Questions for Day 4

NGC1 Day 5Morning

Element 5H&S

Management Systems – Measuring, Audit and Review

Answers to Homework Questions Active monitoring and reactive monitoring Health and safety auditing Investigating incidents


Review of health and safety performance Check of Portfolios NGC1 Practice Questions


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12

NEBOSHNational General

CertificateDelegate Worksheets

(NGC1)


13



14

NEBOSH NGC1 Homework ExerciseDay 1

Key Information

1. Explain the following definitions in relation to:

a. Health

b. Safety

2. Outline the 3 objectives identified by the HSE in the Guidance Document HSG65 in relation to the Management of Occupational Health & Safety.

1.

2.

3.

3. Identify at least 4 key characteristics specific to:

Common Law Statute Law1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

5.

6.


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Criminal Liability Civil Liability1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

5.

6.

4. In relation to RIDDOR complete the following:

Category Give four Examples Explain the Reporting Requirement

Fatality

Specified Injury1.

2.

3.

4.

Dangerous Occurrence 1.

2.

3.

4.

Delayed Death

7 Day Reportable

Diseases1.

2.

3.

4.


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5. Identify 4 of the defences to a claim for negligence:

1.

2.

3.

4.

6. Identify 4 uninsured costs in relation to an accident.

1.

2.

3.

4.

7. Outline the Duty of Care in Common Law in Relation to:

a. The Individual / Servant

b. The Employer / Master


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NEBOSH NGC1 QUESTION ANALYSIS EXERCISES

Look at the following question, and in the space provided describe what the examiner is after from the question. There is no requirement to give a full answer to the example question to be analysed.

Day 1 Question:

(a) Identify the main common law duties of the employer AND give an example of how EACH duty can be met. (8)

(b) Give the meaning of the following terms:i. Doubled-barrelled action; (2)ii. Contributory negligence. (2)

(c) Outline the main features of:i. Civil law; (4)ii. Criminal law. (4)

In the box below for each part of the question write what you understand the examiner is attempting to elicit.

(a)

(b) (i)

(ii)

(c) (i) – Civil Law: (c) (ii) – Criminal Law:


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NEBOSH National General Certificate – Day 1 Questions

1. (a) Outline the THREE standard conditions that must be met for an injured employee to prove a case of negligence against their employer following an accident at work (6 pts)

(b) State the circumstances in which an employer may be held vicariously liable for the negligence of an employee. (2 pts)


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20

2 (a) Outline the main functions (purpose) of:

(i) Civil Law (2 pts)(ii) Criminal Law (2 pts)

(b) Explain the principle differences between Common Law and Statute Law (4 pts)


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3. With reference to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013:

(a) State the legal requirements for reporting a fatality resulting from an accident at work to the relevant enforcing authority.

(5 pts)

(b) Outline THREE categories of work-related injury (other than fatal injuries) that are reportable

(3 pts)


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4. Outline the factors to consider when making an assessment of first-aid provision in a workplace. (8 pts)


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Key Information

1. Complete the following Sections of the Health & Safety at Work Act.

2(1) 3.

2(2)a.

b.

c.

d.

e.

4.

6.

7. a.

b.

2(3) 8.

2 (4.7) 9.

2. Identify 4 investigative powers of the HSE.

1.

2.

3.

4.NGC1 Workbook May 19.doc

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3. Identify 4 Enforcement Powers of the HSE.

1.

2.

3.

4.

4. Explain the following in relation to:

a. Improvement Notice

(1)

(2)

(3)

(4)

The circumstances for issue…

The Effect…

The Right of Appeal…

The Effect of an Appeal …

b. Prohibition Notice

(1)

(2)

(3)

(4)

The Circumstances for Issue …

The Effect…

The Right of Appeal…

The Effect of an Appeal…


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5. Identify the various organisations who have the power to influence or enforce Health & Safety Legislation.

1.

2.

3.

4.

5.

6.

7.

8.

6. Explain / Outline the courts that would deal with:

a. Summary Offences

b. Indictable Offences


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7. Explain the Key Elements that make the requirements of Section 2(3).

1.

2.

3.

4.

5.

6.

7.

8.

9.


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Day 2 Question:

(a) Give the meaning of the following statutory duties:i. absolute; (2)

ii. practicable; (2)iii. reasonably practicable. (2)

(b) Outline the duties of employers under section 2 of the Health and Safety at Work etc Act 1974 (HSWA). (6)

(c) Outline duties placed on employees by:i. sections 7 and 8 of the Health and Safety at Work etc Act 1974 (HSWA); (4)

ii. the Management of Health and Safety at Work Regulations 1999 (MHSWR) (4)

AND give a practical example for EACH duty.


(a) (i) ‘absolute’:

(ii), ‘practicable’:

(iii) ‘reasonably practicable’:

(b) (i)


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(b) (ii)

(c) (i)

(ii)


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In reference to the Health & Safety at Work Act 1974 identify the legal requirements for each of the following Sections:

s.2(1)

s.2.(2). a

s.2.(2). b

s.2.(2). c

s.2.(2). d

s.2.(2). e

s.2.(3)

s.2.(4-7)

s.3.(1)

s.3.(2)

s.4

s.6

s.7(a)

s.7(b)

s.8

s.9


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1. Outline the duties placed on the employees by:

(i) The Health and Safety at Work etc Act 1974. (4 pts)

(ii) The Management of Health and Safety at Work Regulations 1999. (4 pts)


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2. (a) Identify the general and specific duties of employers under Section 2 of the Health and Safety at Work etc Act 1974. (6 pts)

(b) State the penalties that may be imposed by the courts for breach of that section. (2 pts)


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3. With respect to Section 6 of the Health and Safety at Work etc Act 1974, outline the general duties of designers, manufacturers and suppliers of articles and substances for use at work to ensure that they are safe and without risk to health. (8 pts)


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4. (a) Outline the requirements of section 2(3) of the Health and Safety at Work etc Act 1974 in relation to an employer’s duty to prepare a health and safety policy.

(2 pts)

(b) Identify the purposes of EACH of the following sections of a health and safety policy document:

(i) ‘Statement of Intent’ (2 pts)

(ii) ‘Organisation’ (2 pts)

(iii) ‘Arrangements’ (2 pts)


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Key Information

1. Identify the 5 Key Steps in a Risk Assessment

1.

2.

3.

4.

5.

2. Explain the Principles of Prevention

a.

b.

c.

d.

e.

f.

g.

h.

i.


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3. Identify the Six types of Human Error

1.

2.

3.

4.

5.

6.

4. Identify the 3 Key Factors in Preventing Human Error

a.

b.

c.

5. Explain the Key Elements of the Safety Policy

1.

2.

3.


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Day 3 Question:An enforcement inspector has carried out a workplace inspection and has found that a number of work activities have not had general risk assessments completed. (a) Describe the enforcement actions that the inspector could take as a result of

the inspection. (4) (b) Outline the main stages of a general risk assessment AND identify issues

that would need to be considered at EACH stage. (10) (c) Explain the criteria that could be used to priorities any action required as a

result of the completed risk assessments. (6)


(a)

(b)

(c)


37


38


1. Explain, using an example in EACH case, the meaning of each of the following terms:

(i) ‘hazard; (2 pts)

(ii) ‘risk’; (3 pts)

(iii) ‘so far as is reasonably practicable'. (3 pts)


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2. (a) Identify the particular requirements of Regulation 3 of the Management of Health and Safety at Work Regulations 1999 in relation to an employer’s duty to carry out risk assessments. (3 pts)

(b) Outline the factors that should be considered when selecting individuals to assist in carrying out risk assessments in the workplace. (5 pts)


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3. Outline ways in which the Health and Safety Executive can influence the health and safety performance of an organisation. (8 pts)


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4. With respect to undertaking general risk assessments on activities within the workplace:

(i) Outline the FIVE key stages of the risk assessment process, identifying the issues that would need to be considered at EACH stage (8 pts)

(ii) Identify FOUR items of information from within and FOUR items of information from outside the organisation that may be useful when assessing the activities (8 pts)

(iii) State the legal requirements for recording workplace risk assessments (4 pts)


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Key Information

1. Define the following terms.

a. Safe System of Work

b. Confined Space

c. Permit to Work

2. Identify the Key Components of a Permit to Work System.

3. Explain the Difference between:

a. Consultation

b. Providing Information

4. Outline the role/function of a Safety Representative or ROES


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5. What criteria could be used to determine the effectiveness of the Safety Committee:

EFFECTIVE NON-EFFECTIVE

1.

2.

3.

4.

5.

6.

7.

8.

6. Outline the Five Key Duty Holders in the CDM Regs

1.

2.

3.

4.

5.

7. Identify the key criteria that require the notification of a construction site, within the CDM Regs.

a.

b.


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Day 4 Question:

An HSE inspector has identified that the cause of an accident was as a result of a failure of the employer to implement a permit-to-work system.

(a) Identify circumstances that might require a permit-to-work. (4)(b) Outline the functions of a permit-to-work system. (10)(c) Outline the enforcement actions that the HSE inspector might take in this situation.

(6)


(a)

(b)

(c)


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1. Outline the ways in which employers might motivate their employees to comply with health and safety procedures. (8 pts)


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2. (a) Outline the benefits to an organisation of having a health and safety committee

(4 pts)

(b) Outline the reasons why a health and safety committee may prove to be ineffective in practice

(8 pts)

(c) Identify a range of methods that an employer can use to provide health and safety information directly to individual employees

(8 pts)


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3. In relation to the Safety Representatives and Safety Committees Regulations 1977, outline:(i) the rights and functions of a trade union-appointed safety representative (6 pts)

(ii) the facilities that an employer may need to provide to a safety representative (2 pts)


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Key Information

1. Explain the difference between:

1. Active Monitoring

2. Re-Active Monitoring

2. Outline the Key Factors that could affect the safety culture in an organisation.

Culture

Positively Negatively1. 1.

2. 2.

3. 3.

4. 4.

5. 5.

3. Identify four benefits to the organisation of investigating accidents

1.

2.

3.

4.NGC1 Workbook May 19.doc

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4. Identify four people who may be considered useful members of an accident investigation team and explain why.

1.

2.

3.

4.


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Day 5 Question:

An organisation is investigating an accident. (a) Give the meaning of the term ‘immediate causes’. (2) (b) Give the meaning of the term ‘root causes’. (2) (c) Outline why an organisation should investigate a workplace accident. (8) (d) Identify internal documents that could be examined when investigating a

workplace accident. (8)In the box below for each part of the question write what you understand the examiner is attempting to elicit.

(a)

(b)

(c)

(d)


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1. An organisation has decided to conduct an internal investigation of an accident in which an employee was injured following the collapse of storage racking.

(i) Outline FOUR benefits to the organisation of investigating the accident. (4 pts)

(ii) Giving reasons in EACH case identify FOUR people who may be considered useful members of the investigation team.

(8 pts)

(iii) Having defined the team, outline the factors that should be considered when planning the investigation.

(8 pts)


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2. Replacement or repair of damaged plant and equipment is a cost that an organisation may face following a workplace accident.Identify EIGHT other possible costs to the organisation following a workplace accident.


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3. (i) Explain why an organisation should have a system for the internal reporting of accidents. (4 pts)

(ii) Identify the reasons why employees may fail to report accidents at work. (4 pts)


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CertificateNGC1

MockExamination Papers


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Mock Exam 1 – NGC1 – The Management of Safety and Health1 Following a significant increase in accidents, a campaign is planned to improve the health and safety

culture of an organisation.

(a) Describe the term ‘health and safety culture’; (4)

(b) Identify reasons why the current safety procedures may not have been followed; (8)

(c) Identify how the organisation might ensure that the campaign is effectively communicated to, and understood by, employees. (8)

2 Outline reasons why an organisation should monitor and review its health and safety performance.

(8)

3. (a) Outline the ‘five’ steps involved in a risk assessment of risk from workplace activities (as described in the HSE’s “Five Steps to Risk Assessment” (INDG163)). (5)

(b) Identify the significant findings that should be recorded. (3)

4. (a) Outline the purpose AND general content of the THREE main sections of a health and safety policy. (6)

(b) Outline the circumstances that may influence the frequency of a review of an organisations health and safety policy. (2)

5 In relation to a risk assessment undertaken to comply with the Management of Health and Safety at Work Regulations 1999:

(a) Identify FIVE criteria that will determine whether it is ‘suitable and sufficient’; (5)

(b) Outline THREE circumstances that may require a risk assessment to be reviewed. (3)

6. Outline TWO reactive measures AND TWO active (proactive) measures that can be used in monitoring an organisation’s health and safety performance. (8)

7. Representatives of employee safety can be elected to represent employees under the Health and Safety (Consultation with Employees) Regulations 1996.

(a) Outline criteria that would help to determine the appropriate number of representatives of employee safety in the workplace. (4)

(b) Outline the rights and functions of representatives of employee safety elected under the Regulations. (4)

8. Outline factors that may determine the effectiveness of a health and safety committee. (8)

9. Outline the factors that should be taken into account to help ensure an effective witness interview technique following a workplace accident. (8)

10 (a) Outline SIX possible defences to a civil law claim of negligence. (6)

(b) Explain the circumstances in which an employer may be subject to vicarious liability. (2)

11 Identify published information that may be consulted when dealing with a health and safety problem at work. (8)


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Mock Exam 2 – NGC1 – The Management of Safety and Health1 After previously experiencing issues with non-compliance, an employer is to introduce a new safe

system of work.

(a) Give the meaning of the term ‘safe system of work’. (2)

(b) Outline the content of a training session to help ensure the successful introduction and use of the new safe system of work. (10)

(c) Identify individual factors that might cause an employee to deviate from the safe system of work. (8)

2 Outline ways in which the health and safety culture of an organisation might be improved. (8)

3. An employee who works on a production line has notified her employer that she is pregnant.

Outline the factors that the employer should consider when undertaking a specific risk assessment in relation to this employee. (8)

4. With reference to Section 6 of the Health and Safety at Work etc Act 1974, outline the general duties of designers, importers, manufactures and suppliers of articles and substances for use at work to ensure that they are safe and without risk to health. (8)

5. (a) Identify individual factors that may increase the risks to an employee who is required to work alone away from the workplace. (4)

(b) Outline procedural controls that employers could implement to help minimise the risk to lone workers. (4)

6. (a) Outline SIX possible defences to a civil law claim of negligence. (6)


7 An employer has selected a contractor to carry out renovation work on a building that will still be occupied while the work is carried out.Outline the arrangements that the employer can make to control the contractor while this work is being carried out. (8)

8. In relation to a risk assessment undertaken to comply with the Management of Health and Safety Regulations 1999:



9. (a) Identify criminal courts. (2)

(b) Outline the role of the criminal courts with regards to health and safety matters. (4)

(c) Identify possible defences that an employer may use in a criminal case. (2)

10 (a) Give the meaning of the term ‘Health and Safety Audit’. (2)

(b) Outline issues that need to be considered at the planning stage of an audit. (6)

11 (a) Outline the purpose of employers’ liability insurance. (2)

(b) Outline SIX costs of a workplace accident that might not be insured. (6)


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Mock Exam 3 – NGC1 – The Management of Safety and Health1 (a) Describe the legal requirements whereby employers must prepare a written statement of the

health and safety policy. (2)

(b) Explain the purpose of the ‘statement of intent’ section of the health and safety policy. (2)

(c) Identify the main content of the ‘statement of intent’ section of the H&S policy. (8)

(d) Outline the typical responsibilities of a managing director that should be included in the health and safety policy. (8)

2 (a) Identify TWO main functions of first-aid treatment. (2)

(b) Outline factors that should be considered when selecting an employee to be a first aider. (6)

3. In relation to health and safety, outline the role of the following:

(a) Employment tribunals; (4)

(b) Criminal courts. (4)

4. In relation to a risk assessment undertaken to comply with the Management of Health and Safety at Work Regulations 1999.



5 Outline the strengths and weaknesses of using a checklist to complete a health and safety inspection of a workplace. (8)

6. A hospital is to be refurbished.Outline the criteria which could be used to select competent construction contractors to undertake the task. (8)

7. Outline how the following techniques may be used to improve health and safety performance within an organisation.

(a) Safety inspections: (3)

(b) Externally led health and safety audits: (3)

8. Identify published information that may be consulted when dealing with a health and safety problem at work.

(8)

9. Outline the factors that should be considered when setting health and safety performance objectives.

(8)

10. (a) Explain why an organisation should have a system for the internal reporting of accidents. (4)

(b) Identify the reasons why employees may fail to report accidents at work.(4)

11. A new process has been introduced into a workplace. Operatives, supervisors and managers have received information and training on a safety system of work associated with the process.

(a) Outline FOUR benefits to an employee of providing information and training. (4)

(b) Identify FOUR benefits to an employer of providing information and training. (4)

(c) Analysis of accident statistics: (2)NGC1 Workbook May 19.doc

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Mock Exam 4 – NGC1 – The Management of Safety and Health1 A contractor has been engaged by a manufacturing organisation to carry out extensive

maintenance work on the interior walls of a factory workshop.

(a) Outline the legal duties that the manufacturing organisation owes the contractor’s employees under the Health and Safety at Work Act 1974. (4)

(b) Outline information relevant to H&S that should be provided before work commences by:

(i) The manufacturing organisation to the contractor; (4)

(ii) The Contractor to the manufacturing organisation. (4)

(c) Outline additional procedural measures that the manufacturing organisation should take to help ensure the health and safety of its own and the contractors employees. (8)

2 (a) Outline reactive measures that can be used to monitor an organisations H&S performance. (4)

(b) Outline active measures that can be used to monitor an organisations health and safety performance. (4)

3. In relation to a risk assessment carried out to comply with the Management of Health and Safety at Work Regulations 1999:

(a) Identify criteria that will determine whether it is ‘suitable and sufficient’; (5)

(b) Outline circumstances that may require a risk assessment to be reviewed. (3)

4. Outline the purpose and legal status of existing:

(a) Health and Safety Regulations; (4)

(b) HSE Approved Codes of Practice. (4)

5 Outline initial actions that should be taken following a major accident at work. (8)

6. (a) Give examples of a confined space. (2)

(b) Outline specific hazards associated with working in a confined space. (6)

7. (a) Outline the legal requirements placed on employers to have a written health & safety policy. (2)

(b) Identify categories of persons who may be included in the ‘organisation’ section of a health and safety policy AND give an example of a specific responsibility in EACH case. (6)

8 An employee fell down a flight of stairs at work while carrying a box of letters to the mail room and broke an arm.

(a) Describe the requirements for reporting the accident to the reporting agency. (3)

(b) Give the information that should be contained in the accident report. (5)

9. Outline the main principles of prevention that can be used to help reduce the risk of injury from hazards identified in the workplace. (8)


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10. (a) Outline why it is important for an organisation to develop and maintain emergency procedures. (4)

(b) When developing emergency procedures, outline why the arrangements for contacting the emergency rescue services need to be included. (4)

11. Give reasons why employers should keep records of accidents at work and work-related ill-health. (8)


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Mock Exam 5 – NGC1 – The Management of Safety and Health


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1 A visitor being shown around a site by a supervisor slipped on a patch of oil on a warehouse floor while taking a short cut. The visitor was admitted to, and remained, in hospital for several days.

(a) Outline the legal requirements for the reporting of this accident to the enforcing agency. (4)

(b) Explain, with reasons in EACH case, possible breaches of the Health and Safety at Work etc. Act 1974 by:

(i) The employer; (10)

(ii) The supervisor. (4)

(c) Identify government authorities that could prosecute the employer for breaches of the Health and Safety at Work etc. Act 1974. (2)

2 Outline indicators of management commitment to health and safety in the workplace. (8)

3. (a) Give the meaning of the term negligence. (2)

(b) Give examples of a negligent act by an employer. (2)

(c) Outline the role of the civil court with regard to health and safety matters. (4)

4. The managing director of a construction organisation has ordered an untrained employee to use an excavator that has been served a prohibition notice due to its defective brakes. During use, the excavator topples into an excavation injuring both the employee and sub-contractor.Identify the possible breaches of the Health and Safety at Work etc Act 1974 by:(a) The organisation; (4)

(b) The managing director (4)

AND give examples of EACH.

5. (a) Outline legal requirements placed on employers to have a written health and safety policy. (2)

(b) Outline the typical content of the ‘statement of intent’ section of the health and safety policy.

(6)

6. An organisation is considering expanding to a shared site.

(a) Outline factors that should be considered when carrying out a risk assessment of the first-aid provision on the site. (6)

(b) Identify the main functions of first-aid treatment. (2)

7. Identify duties of employers to their employees under section 2 of the Health and Safety at Work etc. Act 1974. (8)

8. Outline factors that may increase risk to pregnant employees in the workplace. (8)

9. (a) Give the meaning of the term ‘confined space’. (2)

(b) Give examples of a confined space. (2)

(c) Outline how employees working in a confined space could call for assistance in an emergency. (4)

10. Outline barriers that may prevent acceptable standards of health and safety being maintained. (8)

11. Outline indicators of management commitment to health and safety in the workplace. (8)


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Mock Exam 6 – NGC1 – The Management of Safety and Health1 An accident has been attributed to the failure of an employer to implement an appropriate permit-to-

work system.

(a) Outline key elements of a permit-to-work system. (6)

(b) Outline types of work situation that might require a permit-to-work system AND give reasons in EACH case for the requirement. (8)

(c) Describe the actions that an enforcing agency could take in this situation. (6)

2 Outline factors that should be considered in order to help ensure an effective witness interview technique following a workplace accident. (8)

3. Outline ways in which health and safety culture of an organisation might be improved. (8)

4. Outline strengths and weaknesses of using a checklist to complete a health and safety inspection of a workplace. (8)

5 (a) Give the meaning of the term ‘so far as is reasonably practicable’. (2)

(b) Outline general and specific duties of employers under section 2 of the Health and Safety at Work etc Act 1974. (6)

6. (a) Give, using a workplace example, the meaning of the term ‘risk’. (3)

(b) Identify the key stages of a workplace risk assessment. (5)

7. (a) Outline the purpose of employers’ liability insurance. (2)

(b) Identify possible uninsured costs of a workplace incident. (6)

8. Outline external and internal influences that might initiate a health and safety policy review (8)

9. An employee has suffered a fatal injury at work.

(a) Outline the procedure for reporting the accident to the enforcing agency. (4)

(b) Identify who should be informed of the accident, other that the enforcing agency. (4)

10.

(a) Outline legal requirements placed on the employers to have a written health and safety policy. (2)

(b) Outline the purposes of EACH of the following sections of the health and safety policy.

(i) Statement of Intent; (2)

(ii) Organisation; and (2)

(iii) Arrangements. (2)

11 With respect to the Safety Representatives and Safety Committees Regulations 1977;

(a) Outline when a safety representative is legally entitled to inspect the workplace. (6)

(b) Outline facilities that an employer may need to provide to safety representatives. (2)


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CertificateNGC1

Mock Examination Answers


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Mock Exam 1 Answers – NGC1 – The Management of Safety and Health1 Following a significant increase in accidents, a campaign is planned to improve the health and safety

culture of an organisation.

(a) Describe the term ‘health and safety culture’; (4)

The safety culture of an organisation is the product of individual and group values, attitudes, perceptions, competences and patterns of behaviour that determine the commitment to, and the style and proficiency of, an organisation’s health and safety management.

(b) Identify reasons why the current safety procedures may not have been followed; (8)

The procedures may not have been reviewed and updated to reflect changes in technology (plant and equipment) or trade and industry best practices.Operatives may not have been trained on the implementation of the procedures and are not aware of the importance of carrying out the activity as prescribed and the possible consequences if the procedure is not adhered to.Supervisors may not be paying sufficient attention to the operative’s actions and are not pulling them up to explain the errors of their ways or perhaps they have too many operatives to oversee so cannot effectively monitor everyone.Supervisors accepting the practices operatives are implementing and not raising the issue with management to have them reviewed.Procedures may be flawed and not implementable owing to errors and omissions and operatives therefore do it their own way.

(c) Identify how the organisation might ensure that the campaign is effectively communicated to, and understood by, employees. (8)

Having formal training sessions with groups of employees to fully explain the campaign aims and objectives.Having pre-start briefings with workers undertaken by their supervisors.Posting suitable signage around the work area to communicate the safety critical information to employees.Establishing well positioned, and maintained, notice boards high-lighting the campaign message.Involving workers in the development of the procedures using their experience and knowledge so that they have ownership of the processes.Leading by example, managers and supervisors not only ‘preaching’ the message, but seen to be adopting it themselves.Ensuring documented procedures are kept simple and straightforward so that they are easy to understand and implement.Raising the campaign in safety committee meetings so that representatives can communicate the information to those they represent and posting minutes of the meetings within the workplace for employees to read.If the canteen/rest room has a large screen display device, a video recording of the campaign information could be made and played on the screen at regular intervals (e.g. during break times).

2 Outline reasons why an organisation should monitor and review its health and safety performance.

(8)

Reasons for reviewing health and safety performance could fall into three categories: human or moral, economic (financial) and legal.Review performance enables the company to ensure that its health and safety management system is effective in controlling the risks and thereby protecting the health and safety of its employees and others who may be affected by their activities. If deficiencies are identified,


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resources can be focussed in these areas and thereby prevent future accidents and incidents that could harm those who are at risk.Correct management of company risks, also protects the company assets (people being the most important asset). By protecting assets losses are reduced from repairing and replacing damaged plant and equipment, the lost time of investigating incidents, potential loss of future business due to a poor reputation and paying compensation to employees and paying potential fines as a result of court sanctions.The Health and Safety at Work etc. Act 1974 requires employers not only to produce and health and safety policy, but to keep it under review. Additionally the Management of Health and Safety at Work Regulations 1999 require employers to plan, organise, control, monitor and review the arrangements implemented to control workplace risks. By reviewing health and safety performance, it demonstrates the organisations compliance with these legal requirements.

3. (a) Outline the ‘five’ steps involved in a risk assessment of risk from workplace activities (as described in the HSE’s “Five Steps to Risk Assessment” (INDG163)). (5)

Step 1 – Identify the Hazards, where hazards are anything with the potential to cause harm, such as plant, substances, living organisms, environmental such as fast flowing water or even the way someone works.

Step 2 – Identify those who could be harmed and how; this would include operatives undertaking the work, those who could be in the area of work, visitors, new and expectant mothers, young persons and even trespassers.

Step 3 – Evaluate the risks and decide if existing control measures and adequate, if not, identify the additional control measures needed.

Step 4 – Make and written record of the significant findings and arrange for the additional control measures identified to be implemented

Step 5 – Monitor the activity to ensure that the implemented workplace precautions have been implemented, that they are achieving the level of control anticipated and, if not, reviewing and revising the assessment to prevent a possible accident in the future.

(b) Identify the significant findings that should be recorded. (3)

Details of the person or people who undertook the assessment and the date of the assessment.

Details of the activity being undertaken and the location.

Details of the significant hazards arising from the activity and/or location.

Details of those people who were deemed to be at risk.

Details of the evaluated risk level without any control measures in place.

Details of the existing control measures in place.

Details and priority of those additional control measures required to reduce the risk to as low as reasonably practicable.

The details of the evaluated residual risk level once all control measures have been implemented.

4. (a) Outline the purpose AND general content of the THREE main sections of a health and safety policy. (6)

A Statement of Policy (or Statement of Intent)This section of the policy document will state senior management overall aims and objectives to complying with health and safety legislation (in particular the Health and Safety at Work Act 1974) in order to protect the health, safety and welfare at work of their employees and others who may be affected by its activities. It will commit to the provision of adequate resources, both time and money, for its successful implementation and to


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ensuring those given health and safety responsibilities will be trained to carry out their duties. It will commit to carrying out risk assessments of all work activities and to put together safe systems of work to ensure any control measures are implemented and effective in accordance with the Health and Safety Management Regulations 1999. It will also commit to proactively monitoring health and safety performance and investigating any incidents/accidents to determine root causes and put in corrective measures to prevent reoccurrence. Additionally, it will commit to keeping the policy under review and bring any amendments made to the attention of its employees.

OrganisationThis section of the policy will show an organisation diagram indicating the normal lines of communication between all levels for health and safety. Each level of management down to employees will be delegate individual and collective responsibilities for health and safety, which if they follow, will ensure that the aims and objectives stated in the Statement of Policy are achieved.

ArrangementsThis is the largest section of the policy document and will have procedures for those with health and safety responsibilities to follow to ensure that a high standard of compliance with health and safety is consistently achieved. Procedures within this section would cover such things as: Risk Assessments; Fire Emergency; Evacuation; Visitors; Training; Plant and Equipment Maintenance; Accident Investigation; Accident Reporting and Recording (including RIDDOR); Working at Height; Monitoring (e.g. inspections and audits) and Review to name just a few. What procedures will actually be included will depend on the nature of the organisation’s activities, size of workforce and the types of plant, equipment and materials used.

(b) Outline the circumstances that may influence the frequency of a review of an organisations health and safety policy. (2)

The frequency of review can be affected by such factors as good compliance with health and safety procedures as indicated by monitoring activities, in which case the frequency might be reduced; equally poor compliance could result in the frequency being increased. Any serious incident or accident might invoke an early review as would enforcement action by enforcement bodies. Changes in legislation applicable to the organisation, changes in key personnel (e.g. MD) changes in processes or technology used would also invoke a review. If none of the aforementioned should occur, then the policy would be reviewed after a suitable lapse of time, this is usually annually.

5 In relation to a risk assessment undertaken to comply with the Management of Health and Safety at Work Regulations 1999:


Criteria that will determine whether a risk assessment would be deemed suitable and sufficient would include:

Whether the person or persons carrying out the risk assessment were both competent in the risk assessment process and the activity being assessed;That the risk assessment identified all the hazards associated with the activity that could cause significant harm and identified those who could be harmed and how;Using a suitable method of risk rating it should determine whether existing control measures (if any) are adequate, and if not, it should identify and prioritise additional risks control measures to reduce the risk to as low as reasonably practicable;The risk assessment should remain valid for a reasonable period of time, so that any foreseeable changes are covered by the assessment;In carrying out the risk assessment those involved in the activity should be consulted so that their experience can be utilised – they would have knowledge not only of the hazards, but probably suitable control measures that could be implemented.



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After an incident or accident that might indicate that the risk assessment might be flawed in some way such that the control measures are not suitable and sufficient;After the receipt of and enforcement notice that would require the workplace activity to be reviewed and control measures revised in order to satisfy the conditions within the notice so that it can be closed down;

After a change in legislation, guidance or Approved Codes of Practice or even changes to accepted industry best practices such that more effective control measures can be utilised to better protect those who could be affected by the activities.

6. Outline TWO reactive measures AND TWO active (proactive) measures that can be used in monitoring an organisation’s health and safety performance. (8)

ReactiveCollection of data with regard to accidents within the workplace that cause harm, injury or ill-health can be collected. Records of these will be entered into the Accident Book (or equivalent company document) and if RIDDOR reportable there will be additional F2508 records from the online reporting submissions. Each event should be investigated to not only identify the immediate cause, but also the root or underlying cause which could result in further accidents occurring. Once root causes have been identified remedial action needs to be taken to prevent reoccurrence. Continue monitoring of these type of events will determine whether losses are being reduced or are increasing and so determining the effectiveness of control measures.

Other reactive data that can be monitored are those relating to visits from enforcing authorities (HSE, Local Authority and Fire and Rescue Service) and any enforcement action taken. Investigating the results of this enforcement action will also enable the organisation to check its performance in relation to compliance with legislative requirements.

ProactiveCarrying out regular workplace inspections aimed at checking that the required workplace precautions determined from risk assessments are being implemented and are achieving the desired level of control of the workplace hazards is another way of monitoring H&S performance. If problems are observed these can be investigated and additional or alternative control measures implemented to rectify the situation before an accident occurs.

Carrying out systematic, independent audits of the implemented H&S Management system is also a proactive monitoring activity. This will check all aspects of the H&S Management System to ensure that is suitability for the particular workplace, the allocation of responsibilities throughout the organisation and the development and implementation of appropriate workplace procedures. Results from this audit can be used to continually improve on the company’s health and safety systems and ensure, where non-conformances occur, they are rectified.

7. Representatives of employee safety can be elected to represent employees under the Health and Safety (Consultation with Employees) Regulations 1996.

(a) Outline criteria that would help to determine the appropriate number of representatives of employee safety in the workplace. (4)

Criteria to consider would include:The number of employees working for the organisation as there would be limitations on the number of employees that any representative could effectively represent and consult with.The various departments into which the organisation is divided, e.g. human resources, manufacturing, maintenance etc. as representatives should come from within the department of the employees they will represent.The geographical spread of the organisation and/or departments, as if the company


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is a national company with offices throughout the country they representatives should be employed on the site that the employees they represent work.

(b) Outline the rights and functions of representatives of employee safety elected under the Regulations. (4)

The functions of safety representatives include:Investigating hazards and dangerous occurrences and examining the causes of accidents involving the employees they are appointed to represent;Investigating employees complaints regarding health and safety at work and making representations to the employer on such matters;Carrying out inspections of the workplace where no inspection has been carried out in the last 3 months (trade union safety representative);Representing employees in consultations with HSE and receive information from inspectors and disseminating this information to the employees they represent; andWhere there is a safety committee established by the employer, attending these safety committee meetings

The rights of safety representatives include:Time off with pay during normal working hours for performing their functions and for undergoing training for those functions;To have access to facilities, provided by the employer, to consult with employees and perform any of their functions e.g. a private room, access to IT systems, printers etc; andWhere a notifiable accident or dangerous occurrence has occurred, carry out an inspection of that part of the premises to determine the cause of the incident.

8. Outline factors that may determine the effectiveness of a health and safety committee. (8)

The make-up of the committee as it should represent a fair spread across the various organisational departments, not be biased such that management are over represented so decisions can be influenced to their favour. Poor leadership of the committee and lack of a published agenda so that topics are dealt with on a ad-hoc basis and the meeting hijacked for personal agendas rather than focussing on health and safety issues. Lack of terms of reference for committee members so that they are not aware of the aims and objectives of the safety committee. Minutes of meetings not being taken and published so that employees can see the topics being discussed and the actions coming out of the meetings that will improve the health and safety culture of the organisation.

9. Outline the factors that should be taken into account to help ensure an effective witness interview technique following a workplace accident. (8)

For an effective witness interview:

The interviewer must be objective and have available to them all the necessary information (as appropriate) to conduct the interview such as: equipment details including maintenance records, substances register and relevant raining records. The interviewer must also know the interviewee’s name and role within the organisation.

Where possible it would be preferable to have one interviewee and one interviewer at a time. Have a good introduction explaining the purpose of the interview and the ultimate aim and objective (e.g. to prevent reoccurrence of the event). Establish some common ground to get the interviewee on home ground and feeling comfortable with the process.

Once the interview commences try to maintain rapport by ensuring no interruptions by you or others, using open questions, avoiding multiple or complex questions and avoid any pre-judgemental bias.

Recording interviews will ensure that you do not forget what was asked and answered, it will prevent confusion between interviews. However, if audio recording then you must get the interviewee consent, otherwise records will need to be in note form.


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When closing an interview, review notes (maybe get both parties to initial them) and ask the interviewee their thoughts of prevention. Thank them for their assistance and raise the issue that there might be possible future interviews if later some of the points need to be further clarified.

10 (a) Outline SIX possible defences to a civil law claim of negligence. (6)

1. No duty owed2. Duty owed is different from that claimed e.g. claiming a duty of care as owed to an

employee when they were only a visitor where the ‘neighbour’ principle applies.3. No breach of the duty i.e. the defendant fully met their duty of care.4. No damage, injury or loss. The loss or injury claimed was not as a result of the breach,

but from some other activity such as sports.5. Damage was not a direct result of the breach. No causal link between the breach of

duty of care and the harm/loss that was sustained.6. “To one who is willing no harm is done”. A person who knowingly and deliberately puts

themselves in harm’s way cannot have a claim for negligence.7. Act of God. The cause of the event leading to the loss was a result of an act of nature

and not under the control of the defendant, e.g. weather related.8. Contributory Negligence. Although not a total defence, this would indicate that the

claimant was partly to blame and therefore not owed the full level of compensation they are claiming.


Vicarious liability is the liability of the employer for the wrongful acts of his employees (and contractors) whilst they are carrying out his instructions. The employee must be doing what the employer has directed him to do and not be ‘on a frolic of their own’ in order for this liability to apply.

11 Identify published information that may be consulted when dealing with a health and safety problem at work. (8)

Legislation – Acts and Regulations issued by Parliament; Approved Codes of Practice (ACoP’s) issued by the HSE setting the minimum standards that

need to be achieve in order to comply with legislative requirements;

Guidance – issued by the HSE and various trade bodies which give practical advice which if followed would enable an organisation to comply with legislative requirements;

Material Safety Data Sheets published by manufacturers of substances considered to be hazardous to health;

Operational and Maintenance manuals issued by manufactures and suppliers for plant and equipment giving information on residual hazards and how they can be controlled;

HSE Website which contains links to a plethora of information on hazards and controls and also give access to their ACoP’s and Guidance documents;

Trade Unions, who have a large accumulation of knowledge and information which is accessible by Trade Union Representatives who might work for the organisation; and

Research data and other information on the internet, much of which has been commissioned and published by the European Union or International Standards Organisation.


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Mock Exam 2 Answers – NGC1 – The Management of Safety and Health1 After previously experiencing issues with non-compliance, an employer is to introduce a new

safe system of work.

(a) Give the meaning of the term ‘safe system of work’. (2)

A safe system of work is the methodology which results in the integration of personnel, articles and substances in a suitable environment and workplace to produce and maintain an acceptable standard of safety. Any ‘safe system of work’ must consider foreseeable emergencies and the actions to be taken to deal with such an emergency including the provision of rescue facilities.

(b) Outline the content of a training session to help ensure the successful introduction and use of the new safe system of work. (10)

The training should cover the information needed by the employee to operate the safe system of work in normal, abnormal and emergency conditions. Normal would cover everyday activities such as pre-start checks, the set up and adjustment of the system for operational use and the methodology to implement to ensure the work is carried out in a safe manner. Abnormal conditions would cover (in most circumstances) where a foreseeable condition arises that the operative can deal with to rectify the problem without recourse to supervisors or managers assistance. Emergency conditions would be where there is a situation that needs to be dealt with to prevent the problem deteriorating and becoming worse. This would cover such things has how to run down the process to a safe stop by the quickest method, to isolate the system to prevent possible harm and the reporting and recording of the event so that it can be repaired and recovered to normal operation use.The employee should be trained on the safety critical features of the safe system of work and the inspections and maintenance requirements that are the responsibility of the employee to ensure these remain functional. In conjunction with this it should cover the maintenance and inspection records to be produced and the documentation that they need to be complete whilst undertaking the work activity such as quality control records.The training should cover the minimum personal protective equipment (PPE) requirements whilst undertaking the work and it should inform them of the hazards this PPE is protecting them from and the possible consequences, especially chronic health issues where repeated exposure over a period of time could result in permanent ill-health issues. It should also cover the handling, storage, transport and use of materials that may be used in the system of work along with instruction on any mechanical aids that might be required to assist in handling the materials. If the materials are of a hazardous nature, the training should highlight these and inform them of the possible routes of entry into the body and the harm it could cause them, acute and chronic, along with any symptoms that might present themselves to indicate over-exposure.Information should be given on any pre-requisite qualifications to undertake the work in addition to the SSoW training such as electrical qualifications for electrical activities or Fork Lift Truck (FLT) operator’s competency card when using a FLT to move materials. Additionally, the level of supervision required when undertaking the work needs to be explained, especially for higher risk work, where a safety person may need to be present.

(c) Identify individual factors that might cause an employee to deviate from the safe system of work (SSoW). (8)

The ability of the individual to assimilate and apply the information, instruction and training given to the employee could result in the SSoW not being followed.The physical abilities of the employee to actually perform the task as trained, if unable to complete the action they may need to innovate and thus deviated from the SSoW.The individual may have a limited capacity to attention i.e. the lack of the ability to concentrate on the task at hand for any significant period of time, or find the work boring and repetitive and thereby loses focus or concentration resulting in errors or mistakes.


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They may have undertaken the activity on a frequent basis and thus become complacent with the risks from the activity and the importance of following the SSoW.Additionally, long hours of work or double shifts may result in the operative making mistakes from memory lapses or slips of action.Being presented with a situation that had not be covered in their training could result in an employee choosing an incorrect method to resolve the situation so that the task can be completed, rather than stopping and reporting the situation.The individual might perceive incorrect priorities, thinking that getting the job completed within time constraints e.g. by the quickest easiest method rather than the safest one documented in the SSoW.

2 Outline ways in which the health and safety culture of an organisation might be improved. (8)

The factors that affect the culture of an organisation can attributed to three specific areas; the Organisation, the Job and the Individual. Each factor can be considered when looking to improve the health and safety culture.

Making sure that the organisational structure of the company is such that activities can be properly planning and organised so that the correct resources are made available to undertake the work. Having documented procedures that people follow so that a consistent high standard of controls are selected and implemented to protect employees and others who could be affected by the organisations activities. In particular this would include undertaking risk assessments and putting together safe systems of work. Making sure procurement does not look to save money, but rather sources materials, plant and equipment that are safe; i.e. hazards are controlled at source. Making sure that when activities are being undertaken that they are properly controlled and monitored to ensure any control measures are implemented and are effective. Making sure workers are trained to give them the skills to undertake their work, including refresher training. Promoting an open door policy so problems can be reported and acted upon without needing to blames someone for non-conformances. Making sure workers have the correct work/life balance and do not get pressurised to undertake excessive overtime and that they have well defined roles and responsibilities with mutually agreed goals and targets for their work activities. Keeping the workplace clean and tidy with good environmental standards (heating/lighting/access/egress). Providing high quality welfare so that during breaks staff have facilities to wash and sit down for breaks and meals, have access to sanitary conveniences and lockers and changing rooms where appropriate.

3. An employee who works on a production line has notified her employer that she is pregnant.

Outline the factors that the employer should consider when undertaking a specific risk assessment in relation to this employee. (8)

Shift work is known to increase stress on the body and long and arduous work patterns could also pose risks. The hours the women works needs to be considered with the aim ideally of moving her onto a regular day orientated work schedule; especially later in the pregnancy. Additionally exposure to stressful situations and/or the threat of violence would also pose a risk although the later in this situation would probably only be as a result of disputes with work colleagues.

Hazardous manual handling could cause unnecessary stresses on the woman’s body putting the viability of the baby at risk so such activities would need to be eliminated from her work.

Chemical or biological agents and ionising radiation can cause serious harm to the woman’s body and would be even more dangerous to a developing foetus, giving the potential to serious birth defects or health issues. Therefore, the materials the woman is handling, either occasionally or on a regular basis as they are part of the production line process need to be either eliminated for toxic substances or reduced to an acceptable safe level for harmful substances.

The workstation and its suitability as to the ergonomics of the operatives activities, might present difficulties, regardless if it is a standing or a seated position. As the foetus develops


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and grows and the workstation would need to be assessed for its continued suitability.

During the pregnancy the lady would need to have quick and easy access to welfare facilities, so these would need to be in close proximity to her workstation. Additionally, separate facilities should be considered so that she will be able to take a break from all pressures if necessary. Passive smoking could be an issue; however, as smoking in workplaces is now banned in this particular case it should not be an issue that would need to be assessed.

Where the production line work was considered to expose the expectant mother and/or the unborn child at risk then alternative work should be considered of a safe nature, and if this was not viable, then the woman would need to be given time off with full pay.

4. With reference to Section 6 of the Health and Safety at Work etc Act 1974, outline the general duties of designers, importers, manufactures and suppliers of articles and substances for use at work to ensure that they are safe and without risk to health. (8)To ensure so far as is reasonably practicable:o that articles are designed and constructed to be safe and without risk to health at all times

when they are being set, cleaned, used and maintainedo that substances are safe and without risk to health when being used, handled, stored or

transportedo testing and examination must be carried out to ensure the required level of safety and

freedom from risko providing employers with information on the safe use, dismantling and disposal of the

articles and substanceso giving revised information should a subsequent serious risk become known.Importers have a duty to ensure articles or substances comply with the requirements of UK legislation.

5. (a) Identify individual factors that may increase the risks to an employee who is required to work alone away from the workplace. (4)

If the individual has particular health issues that might result in them requiring aid and assistance they should not be allowed to work in a lone working situation.A young person, someone who has left school but not yet attained their 18th birthday, should not be a lone worker as they would lack the maturity and experience to cope with unexpected situations that might occur during lone working situations.New or expectant mothers should not be allowed to lone work as they are more likely to need aid and assistance and would be restricted on the scope of activities they could be engaged in.Operatives that have not successfully completed the necessary training to undertake the lone working activity would be more at risk as they would not been made aware of the hazard and controls needed to be implemented.Operatives who are not considered to be a ‘safe person’ i.e. someone who will take unacceptable risks and will not always comply with the documented safe system of work should not be employed in lone working situations as they are more likely to deviate from the document procedural controls.

(b) Outline procedural controls that employers could implement to help minimise the risk to lone workers. (4)

Technical controls:Ensuring appropriate communications are in place so that updates can be passed between management and the lone worker such is changes in scheduling or order of work.The provision of first aid and fire extinguishers so that should an emergency situation arise the lone worker can successfully deal with the situation on their own (if the risks are such that this cannot be achieved then lone working must not


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be permitted).Procedural controls:

Logging of movements so that management know when the lone work departs one location for the next one and when they arrive at the new destination. In the even in loss of contact the location of the lone worker can be significantly narrowed.Ensuring necessary precautions are taken before entering other premises; employing a stop, think, assess and review (STAR) methodology to check that there are no unidentified risks that they could be exposed to.

Behavioural controls:Ensuring that the integrity of the individual selected to undertake lone work is without reproach, such as the wearing of Personal Protective Equipment (PPE) appropriate to the hazards and that they will carry out the work in accordance with the safe system of work and their training.

6. (a) Outline SIX possible defences to a civil law claim of negligence. (6)

1. No duty of care owed – employee or neighbour principle not applicable.2. Duty owed is different from that claimed e.g. claiming a duty of care as owed to an

employee when they were only a visitor where the ‘neighbour’ duty of care applies.3. No breach of the duty i.e. the defendant fully met their duty of care.4. No damage, injury or loss. The loss or injury claimed was not as a result of the

breach, but from some other activity such as sports.5. Damage was not a direct result of the breach. No causal link between the breach of

duty of care and the harm/loss that was sustained.6. “To one who is willing no harm is done”. A person who knowingly and deliberately

puts themselves in harm’s way cannot have a claim for negligence.7. Act of God. The cause of the event leading to the loss was a result of an act of

nature and not under the control of the defendant, e.g. weather related.8. Contributory Negligence. Although not a total defence, this would indicate tat the

claimant was partly to blame and therefore not owed the full level of compensation they are claiming.


Vicarious liability is the liability of the employer for the wrongful acts of his employees (and contractors) whilst they are carrying out his instructions. The employee must be doing what the employer has directed him to do and not be ‘on a frolic of their own’ in order for this liability to apply.

7 An employer has selected a contractor to carry out renovation work on a building that will still be occupied while the work is carried out.Outline the arrangements that the employer can make to control the contractor while this work is being carried out. (8)

Have a procedure in place to brief their own employees of the impending arrival of the contractor’s, the work they are carrying out and areas they will be working in and the necessary controls to be implemented so the contractors activities do not harm the employees and that the manufacturing organisations activities do not harm the contractors employees.Site arrival, booking in and induction procedures for the contractors staff to make them fully aware to the potential hazards from the manufacturing organisations activities, any ‘no go’ areas, methods to be adopted to keep contractors safe (e.g. cordoning off and posting signage around work areas). This induction would also include minimum Personal Protective Equipment requirements and a point of contact within the manufacturing organisation should issues arise that need to be resolved.Temporary procedural amendments to the manufacturing organisation emergency fire and evacuation procedure would need to be formulated to ensure the continued safety of all employees, both manufacturing and contractors in the event of an emergency situation.


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Procedures would need to be developed for the safe parking and storage of the contractors’ plant, equipment and materials, especially those of a hazardous nature, and the safe security of these items at the cease of work.Permit-to-work procedures would need to be determined for any possible high risk work being carried out by the contractors, such as hot works or potential works on live electrical systems.

8. In relation to a risk assessment undertaken to comply with the Management of Health and Safety Regulations 1999:


(a) Criteria that will determine whether a risk assessment would be deemed suitable and sufficient would include:

Whether the person or persons carrying out the risk assessment were both competent in the risk assessment process and the activity being assessed;That the risk assessment identified all the hazards associated with the activity that could cause significant harm and identified those who could be harmed and how;Using a suitable method of risk rating it should determine whether existing control measures (if any) are adequate, and if not, it should identify and prioritise additional risk control measures to reduce the risk to as low as reasonably practicable;The risk assessment should remain valid for a reasonable period of time, so that any foreseeable changes are covered by the assessment;

In carrying out the risk assessment those involved in the activity should be consulted so that their experience can be utilised – they would have knowledge not only of the hazards, but probably suitable control measures that could be implemented.

(b) Outline THREE circumstances that may require a risk assessment to be reviewed.

After an incident or accident that might indicate that the risk assessment might be flawed in some way such that the control measures are not suitable and sufficient;After the receipt of an enforcement notice that would require the workplace activity to be reviewed and control measures revised in order to satisfy the conditions within the notice to have it closed;

After a change in legislation, guidance or Approved Codes of Practice or even changes to accepted industry best practices such that more effective control measures can be utilised to better protect those who could be affected by the activities.

9. (a) Identify criminal courts. (2)

The Criminal Courts in England and Wales are:Magistrates Courts for summary offences (trial by justices of the peace or circuit judge acting as a stipendiary); in Scotland this would be a Sheriffs Court andCrown Court for indictable offences (i.e. trial by judge and jury); in Scotland this would be a High Court.

(b) Outline the role of the criminal courts with regards to health and safety matters. (4)

Criminal courts listen to cases of alleged breach of health and safety legislation brought by the state against a company or an individual. They listen to the circumstances of the case to determine whether or not the defendant is guilty, ‘beyond reasonable doubt’, or innocent. If guilty the court will determine the level of punishment to be awarded, based on the ability to pay. Punishment can be a fine, a jail sentence or both. Lower courts these are an unlimited fine and or up to 12 months jail sentence for an individual (e.g. a breach of HSWA s7); in Scotland the maximum £20,000 for a company and £5,000 for an individual and/or up to 12 months imprisonment. Higher court fines are unlimited and jail terms a maximum of 24 months. In Scotland there is a ruling of ‘not proven’ that can be given.

(c) Identify possible defences that an employer may use in a criminal case. (2)


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Not guilty on the grounds that the defendant fully complied with the legal duties the legislation he is accused of breaching laid upon him.Not guilty on the grounds that the offence was committed by another party (e.g. a competent employee or contractor) who was acting outside of the directions that the employer had given.

10. (a) Give the meaning of the term ‘Health and Safety Audit’. (2)

A health and safety audit is a systematic examination of all aspects of an organisations management system to ensure it is appropriate for the nature of the business, is dynamic to respond to changes and is being effectively implemented and is working.

(b) Outline issues that need to be considered at the planning stage of an audit. (6)

The size and geographical spread of the organisation to be audited as this will potentially affected the resources needed to complete the activity in terms of time and/or numbers of auditors, especially as there will probably be a time frame in which it will need to be completed.The nature of the organisations activities which will determine the skill sets needed by the auditor to carry out an appropriate audit.The documents available to consult prior to the physical activity of undertaking the audit such as health and safety policy documents, results of previous audits and records of monitoring activities, both active and reactive.Consideration should be given to the format of the report to be produced in order to satisfy the organisations requirement. This would also cover, if required, the methodology of scoring the organisation using the information gathered during the audit.Consideration should be given to producing a contact sheet with details of the persons to be contacted during the audit and the contact numbers. The audit should be planned so that these people are available to speak with at the agreed times and not away on meetings or on holiday.


The employers’ liability insurance is taken out to cover 3 specific legislative requirements. The Employers’ (Compulsory Insurance) Act (covers compensation for employees), the Occupiers Liability Act 1957 (covers compensation for authorised visitors) and the Occupiers Liability Act 1986 (covers compensation for the unauthorised visitor such as a trespasser). The insurance will ensure, regardless of whether or not the company goes into receivership or liquidation that the persons injured as a result of an employer’s activities will be able to seek redress for compensation from their insurance company.

(b) Outline SIX costs of a workplace accident that might not be insured. (6)

Cost of advertising, interviewing, recruiting and training of new employees to replace those who have been injured and unable to return to work.

Costs of overtime to cover the activities of those who have been injured or the employment of temporary staff to do the same (e.g. agency workers).

Cost of lost time of other employees who investigate the accident and maybe attend hearings and courts.

Costs associated with a loss of a specialist or key members of staff as a result of them being injured and absent from work.

Costs of sanctions imposed on the company as a result of criminal actions taken by the state for failure to comply with a statutory duty.

Cost associated with a loss of business whilst dealing with the accident or loss of future orders owing to their reputation being tarnished.

Cost of reviewing and revising risk assessments and safe systems of work relating to the accident and the re-training of staff in regard to the changes made to these documents.


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Costs associated with the increase in insurance premiums as a result of claims for negligence and the increase in the insurance excess that has to be paid as a result of a claim.


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Mock Exam 3 Answers – NGC1 – The Management of Safety and Health1 (a) Describe the legal requirements whereby employers must prepare a written statement

of the health and safety policy. (2)

The Health and Safety at Work etc. Act 1974 Section 2(3) requires employers to have an health and safety policy comprising of a ‘Statement of Policy’, the ‘Organisation’ and the ‘Arrangements’ being in force to manage the organisations health and safety, to keep this policy under review and bring any amendments to the attention of their employees’. Where the employer has more than four employees this policy must be written down.

(b) Explain the purpose of the ‘statement of intent’ section of the health and safety policy. (2)

The purpose is to demonstrate senior management commitment and involvement offering evidence to stakeholders that responsibilities to people and the environment are taken seriously by the organisation and will be treated on the same priority basis as that of the core business activity.

(c) Identify the main content of the ‘statement of intent’ section of the H&S policy. (8)

It should contain aims (which are not measurable) and objectives (which are measurable) of the company. It should commit to complying with key pieces of legislation applying to their area of operations including the Health and Safety at Work etc. Act 1974 and the Management of Health and Safety at Work Regulations 1999. It should commit to undertaking risk assessments and putting together safe systems of work for all significant work activities. It should commit to training their employees to undertaken their activities, both initial and refresher where appropriate. It should commit to monitoring health and safety performance both proactively and reactively and where deficiencies are identified implementing additional controls to prevent occurrence (proactive) or reoccurrence (reactive). It should be signed and dated by the most senior member of management to demonstrate management commitment and to give it authority.

(d) Outline the typical responsibilities of a managing director that should be included in the health and safety policy. (8)

They are responsible and accountable for health and safety performance of their organisation. They must develop strong, positive health and safety culture throughout the company and communicate it to all managers who should have a clear understanding of their health and safety responsibilities. They will be responsible for providing guidance and leadership on health and safety matters to their management team.They will be responsible for establishing minimum acceptable health and safety standards within the organisation and ensuring that adequate resources are available for the health and safety requirements; this would include authorising any necessary major health and safety expenditure.They will evaluate, approve and authorise health and safety related projects developed by the organisations health and safety advisers, review and approve safety policies, procedures and programmes developed by the organisations managers.They will ensure that a working knowledge of the areas of health and safety that are regulated are maintained and ensure that health and safety is included as a standing agenda topic at all formal senior management meeting.They will be responsible for ensuring that all fatalities, major property losses, serious workday loss injuries and dangerous occurrences are investigated.They will be responsible for establishing controls to ensure uniform adherence to the health and safety programme across the organisation encompassing all areas of significant health and safety risk.

2 (a) Identify TWO main functions of first-aid treatment. (2)

To provide immediate medical treatment as a result of an injury or ill-health in order to sustain NGC1 Workbook May 19.doc

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life and prevent the condition from deteriorating until professional medical assistance can be provided. This might include preventing major bleeds, treating serious burns, immobilising broken/fractured limbs or treating the injured person for shock.

To treat those injuries that may go untreated and become infected or more serious some time after the event. These types of incident are of a less serious nature and do not initially need treatment by a medical practitioner.

(b) Outline factors that should be considered when selecting an employee to be a first aider.

(6)

Factors to be considered include whether or not the employee will enjoy and be passionate about the provision of first aid. They should be a good communicator and enjoy interacting with others and have the confidence and reliability to cope with an emergency.

The role they undertake within the organisation will also be a consideration, as in the event of an incident, they should be able to drop what they are doing immediately to be able to attend to the injured/ill person.

The availability of the employee is also important; if they are away at meetings or other venues on a regular basis they may not be suitable. Also, in the event of an emergency how easy will it be to find/locate or contact the employee.

How commanding will the employee be in the event of a serious incident, such that they are able to take charge and direct people to carry out actions without their authority being questioned.

3. In relation to health and safety, outline the role of the following:

(a) Employment tribunals: (4)

In relation to health and safety employment tribunals hear appeals against improvement and prohibition notices issued by an enforcing authority. They listen to the reasons why, in the opinion of the inspector, they issued the notice and to the arguments from the recipient of the notice as to why the opinion of the inspector was in flawed. If they agree with the inspector they will uphold the notice, however, if the agree with the recipient, then the notice will be quashed.

(b) Criminal courts: (4)

Criminal courts listen to cases of alleged breach of health and safety legislation brought by the state against a company or an individual. They listen to the circumstances of the case to determine whether or not the defendant is guilty, ‘beyond reasonable doubt’, or innocent. If guilty the court will determine the level of punishment to be awarded, based on the ability to pay. Punishment can be a fine, a jail sentence or both. Lower courts can award an unlimited fine and up to 12 months jail for individual (Scotland maximum £5,000 for an individual and £20,000 for a company) and higher court fines are unlimited and a maximum jail term of 24 months. In Scotland there is an additional ruling courts can make of ‘not proven’.

4. In relation to a risk assessment undertaken to comply with the Management of Health and Safety at Work Regulations1999:


Criteria that may determine whether a risk assessment would be deemed suitable and sufficient would include:

Whether the person or persons carrying out the risk assessment were both competent in the risk assessment process and the activity being assessed;That the risk assessment identified all the hazards associated with the activity that could cause significant harm and identified those who could be harmed and how;Using a suitable method of risk rating it should determine whether existing control measures (if any) are adequate, and if not, it should identify and prioritise additional risks control measures to reduce the risk to as low as reasonably practicable;


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The risk assessment should remain valid for a reasonable period of time, so that any foreseeable changes are covered by the assessment;In carrying out the risk assessment those involved in the activity should be consulted so that their experience can be utilised – they would have knowledge not only of the hazards, but probably suitable control measures that could be implemented.


After an incident or accident that might indicate that the risk assessment might be flawed in some way such that the control measures are not suitable and sufficient;After the receipt of and enforcement notice that would require the workplace activity to be reviewed and control measures revised in order to satisfy the conditions within the notice to have it closed;After a change in legislation, guidance or Approved Codes of Practice or even changes to accepted industry best practices such that more effective control measures can be utilised to better protect those who could be affected by the activities.

5 Outline the strengths and weaknesses of using a checklist to complete a health and safety inspection of a workplace. (8)

Strengths:Ensures that the inspection examines the same workplace facilities on each occasion enabling one to be compared with another;It ensures no areas are omitted or missed;It does not require the individual carrying out the inspection to have in-depth knowledge of the area as long as the checklist has be put together by someone who was knowledgeable;It ensures that not just one facet of health and safety is inspected such as plant, but all areas (i.e. premises, plant, people and procedures).

Weaknesses:If a non-conformance is not on the checklist, it could be missed and therefore not addressed;The person carrying out the inspection might get complacent and just walk round ticking the boxes, or even worse, tick the boxes without visiting the workplace;It relies on the person who compiled the checklist be competent and experience, if not the list will not be ‘fit for purpose’.The checklist may not have the mechanism to identify and rectify the measures to resolve the issues raised.

6. A hospital is to be refurbished.Outline the criteria which could be used to select competent construction contractors to undertake the task. (8)

The contractor's previous experience with the type of work and its reputation amongst previous or current clients (contactable references);

The quality and content of the health and safety policy and the systems in place for its implementation including the preparation of risk assessments, monitoring and consultation with the workforce;

The level of training and qualifications of staff (including those with health and safety responsibilities) usually presented in the form of a training matrix. Copies of key personal training certificates could also be requested to verify the level of competence;

The contractor's accident and enforcement history; although the first item would be difficult to verify, the fact that they had no accidents including first aid types would be equally suspicious as too many accidents;

Membership of professional bodies or accreditation to a recognised externally verified standard such as ISO 9001, 14001 or OSHAS 18001.


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Equipment maintenance and statutory examination records either in compliance with manufactures recommendations or statutory legislative requirements such as Lifting Operations and Lifting Equipment Regulations.

Detailed proposals (e.g. risk assessments and method statements) for the work to be carried out as opposed to non-site specific generic proposals.

7. Outline how the following techniques may be used to improve health and safety performance within an organisation.

(a) Safety inspections: (3)

Part of active monitoring, these are formal assessments of a workplace and identification of hazardous conditions and practices. These would then be subsequently followed up with remedial action in order to prevent accidents occurring.

(b) Externally led health and safety audits: (3)

Again a form of active monitoring undertaken by competent personnel, audits aim to assess all aspects of the safety management system in a structured manner, using written questions and being confirmed by review of records, staff interviews and observation of workplaces and operations. It will identify areas of non-conformance and/or where improvements in the managements system may be made summarise in the form of a list of recommendations.

(c) Analysis of accident statistics: (2)

Analysis of accident statistics enable an organisation to check that the number of accidents are decreasing as a result of its workplace controls and procedures and/or that the seriousness of the accidents are declining. If not, the organisation can target resources at the areas of concern to achieve the aims and objectives it has set. This activity is known as reactive monitoring.

8. Identify published information that may be consulted when dealing with a health and safety problem at work. (8)

Legislation – Acts and Regulations issued by Parliament;Approved Codes of Practice (ACoP’s) issued by the HSE setting the minimum standards that need to be achieve in order to comply with legislative requirements;

Guidance – issued by the HSE and various trade bodies which give practical advice which if followed would enable an organisation to comply with legislative requirements;

Material Safety Data Sheets published by manufacturers of substances considered to be hazardous to health giving information about hazards and controls;

Operational and Maintenance manuals issued by manufactures and suppliers for plant and equipment giving information on residual hazards and how they can be controlled;

HSE Website which contains links to a plethora of information on hazards and controls and also give access to their ACoP’s and Guidance documents;

Trade Unions, who have a large accumulation of knowledge and information which is accessible by Trade Union Representatives who might work for the organisation; and

Research data and other information on the internet, much of which has been commissioned and published by the European Union or International Standards Organisation.

9. Outline the factors that should be considered when setting health and safety performance objectives. (8)

Performance objectives need to be specific, such as a reduction in loss time accidents within the workplace, rather than to improve overall health and safety performance which could be considered to be an organisations’ aim;


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Objectives need to be measurable, so data can be collected relevant to the objective from which comparisons can be done. If your aim is to inspect the workplace once a week, then records can be checked to see this has been done;

Objectives need to achievable and relevant; setting unobtainable goals for health and safety will demoralise employees when time upon time they have been unable to attain an irrelevant organisational objective. When setting objectives employees should be consulted to obtained their views as they may have the experience of what is achievable and relevant.

Objectives need to be relevant to the organisation; there is no point in having an objective to comply with certain requirements of the Construction (Design and Management) Regulations when you are an office base service facility;

Achievement of the organisations need to be time-bound, setting an objective without a specific target date will give it no urgency or priority and if it is not attained this year it will not matter as it can be rolled over to the next time period.

10. (a) Explain why an organisation should have a system for the internal reporting of accidents. (4)

Human or Moral.Employees are engaged to use the skill and labour to undertake activities for the employer and should not be harmed or subject to ill-heath to prevent them from enjoying the fruits of their labours in their own time.

Legal.Records of accidents have to be recorded in an accident book under the Social Security Claims and Payments Regulations where the employer engages 10 or more employees on or about the premises at the same time. Additionally, the accident may need to be reported und the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) and the information would be needed to enable a fully completed F2508 report to be submitted.

Financial.All accidents will have a financial cost associate with it. This could be repair or replacement of plant or materials, employment of temporary staff, costs of civil and criminal actions taken against the organisation, loss of orders and delays to contracts to name just a few. Determining the costs relating to these will only be possible if such accidents are reported and recorded in the first place, so that investigations can be undertaken to determine the associated financial impact on the organisation.

(b) Identify the reasons why employees may fail to report accidents at work. (4)

Knowing what to report and how. Some operatives may not know what an organisation considers to be a near miss, or specified injuries and to whom and how to report it. Hence they would need to be provided with information regarding these so they know the types of event to be recorded and how it is to be done.

If paperwork operatives need to complete to report workplace accidents is lengthy and complicated it will deter them from making future reports. Simple and easy paperwork would to complete would therefore encourage employees to continue to use the system.

If the employee, owing the culture of he organisation thinks that by reporting an incident that they could be held culpable and suffer disciplinary action they will be deterred from reporting such events. Therefore the organisation would need to brief people on the fact that they would not be treated unfairly for reporting such events.

If operatives report accidents and incidents and nothing appears to be done to rectify the potential problems, they future events will not be reported. Feedback is therefore needed, either in the form of corrective action or, if not possible to do this in a timely manner, then feedback as to why nothing is currently being implemented.


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Lastly, individuals should be assured that they will be treated fairly when they report an accident and will not disadvantaged for the honesty.

11. A new process has been introduced into a workplace. Operatives, supervisors and managers have received information and training on a safety system of work associated with the process.

(a) Outline FOUR benefits to an employee of providing information and training. (4)

The employee will know exactly what is needed to operate the safe system of work in normal, abnormal and emergency conditions;The employee will know about the safety critical features of the safe system of work and the inspections and maintenance requirements that are the responsibility of the employee to ensure the system remains functional.They will know about any records or reporting documents that they need to complete whilst undertaking the work activity.With the knowledge they have accrued, they will be more proficient the operation of the system and less likely to make errors or mistakes which could harm either themselves or others working in the vicinity.If they have a problem with the safe system of work that they are unable to resolve themselves, they will have been trained on who they can go to for advice and assistance.

(b) Identify FOUR benefits to an employer of providing information and training. (4)

A reduction in accident severity and frequency;A reduction in injury and ill-health related absence;A reduction in compensation claims and, possibly, insurance premiums increases;An improvement in the health and safety culture of the organisation;Improved staff morale and retention.


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Mock Exam 4 Answers – NGC1 – The Management of Safety and Health1 A contractor has been engaged by a manufacturing organisation to carry out extensive

maintenance work on the interior walls of a factory workshop.

(a) Outline the legal duties that the manufacturing organisation owes the contractor’s employees under the Health and Safety at Work Act 1974. (4)

Under Section 3(a) the employer has a duty to ensure so far as is reasonably practicable that his undertakings do not harm non-employees, which would include the contractors’ employees e.g. noise from the factory activities.Under Section 4, the Controller of the Premises (i.e. the manufacturing company) has a duty to ensure so far as reasonably practicable that there is safe access and egress and safe plant and equipment in shared or common areas of the premises e.g. well maintained stairs, well-lit and with handrails.

(b) Outline information relevant to health and safety that should be provided before work commences by:

(i) The manufacturing organisation to the contractor; (4)

The possible emergency situations that could occur from the factory activities and the emergency actions that should be taken in the event that they occur.The potential hazards and harm that could occur to contractors by the factory workshop activities and the minimum Personal Protective Equipment requirements when working or moving through these areas.Any particularly hazardous areas where access is restricted without prior consent or permission, such as chemical stores or areas where there are excessive levels of noise.Information on the provision and use of welfare facilities including sanitary conveniences, washing facilities and canteen and rest areas.

(ii) The Contractor to the manufacturing organisation. (4)

The types of equipment to be used and the hazards associated with this equipment, e.g. noise, dust and fumes.The substances to be used during the maintenance activities, their potential harm and the controls that will be implemented to control the hazards including the safe storage.What types of waste will be produced and where and how it will be stored and later how it will be properly disposed of.Any foreseeable emergency procedures that are foreseeable from their activities and their procedures for dealing with these should they occur.

(c) Outline additional procedural measures that the manufacturing organisation should take to help ensure the health and safety of its own and the contractors employees. (8)

Have a procedure in place to brief their own employees of the impending arrival of the contractor’s, the work they are carrying out and areas they will be working in and the necessary controls to be implemented so the contractors activities do not harm the employees and that the manufacturing organisations activities do no harm the contractors employees.Site arrival, booking in and induction procedures for the contractors staff to make them fully aware to the potential hazards from the manufacturing organisations activities, any no access areas, methods to be adopted to keep contractors safe (e.g. cordoning off and posting signage around work areas). This induction would also include minimum Personal Protective Equipment requirements and a point of contact within the manufacturing organisation should issues arise that need to be resolved.Temporary procedural amendments to the manufacturing organisation emergency fire and evacuation procedure would need to be formulated to ensure the continued safety of all employees, both manufacturing and contractors in the event of an emergency situation.Procedures would need to be developed for the safe parking and storage of the contractors’


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plant, equipment and materials, especially those of a hazardous nature, and the safe security of these items at the cease of work.Permit-to-work procedures would need to be determined for any possible high risk work being carried out by the contractors, such as hot works or potential works on live electrical systems.

2 (a) Outline reactive measures that can be used to monitor an organisations health and safety performance. (4)

Enforcement action by enforcement bodies; formal letters, improvement notices, prohibition notices and prosecutions.

Firsts aid incidents recorded in the accident book and absences from work from such injuries or from ill-health issues (e.g. stress).

Statistics formulated from RIDDOR reportable incidents; specified injuries, over 7-day incidents, dangerous occurrences and specified diseases.

Near miss reporting records where in different circumstances these incidents could have resulted in loss. As with an accident they would need to be investigate and preventative measures put in place to prevent re-occurrence.

Accidents statistics could also be collated separately for property damage, insurance claims from such damage or civil actions for negligence.

Statistics could also be collated for the costs incurred by an organisation as a result of all of the above monitoring to determine the true impact on the profitability of the business.

(b) Outline active measures that can be used to monitor an organisations health and safety performance. (4)

Safety inspections. These are formal assessments of a workplace safety and identification of hazardous conditions and practices. These would then be subsequently followed up with remedial action.

Safety surveys – usually a detailed assessment of one aspect of organisations Safety Management System (SMS) e.g. training arrangements.

Safety tours – addresses the people aspects of workplace safety, and by discussion with staff, establishes their familiarity with safety procedures and requirements.

Safety sampling – A specific area is chosen which can be inspected in about 30 minutes and enables organisations to concentrate on one particular area or subject at a time. Normally done using a checklist to facilitate the inspection.

Health and safety audits – assesses all aspects of the safety management system in a structure manner, using written questions and being confirmed by review of records, staff interviews and observation of workplaces and operations.

3. In relation to a risk assessment carried out to comply with the Management of Health and Safety at Work Regulations 1999:

(a) Identify criteria that will determine whether it is ‘suitable and sufficient’; (5)

Criteria that may determine whether a risk assessment would be deemed suitable and sufficient would include:

Whether the person or persons carrying out the risk assessment were both competent in the risk assessment process and the activity being assessed;That the risk assessment identified all the hazards associated with the activity that could cause significant harm and identified those who could be harmed and how;Using a suitable method of risk rating it should determine whether existing control measures (if any) are adequate, and if not, it should identify and prioritise additional risks control measures to reduce the risk to as low as


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reasonably practicable;The risk assessment should remain valid for a reasonable period of time, so that any foreseeable changes are covered by the assessment;In carrying out the risk assessment those involved in the activity should be consulted so that their experience can be utilised – they would have knowledge not only of the hazards, but probably suitable control measures that could be implemented.

(b) Outline circumstances that may require a risk assessment to be reviewed. (3)

After an incident or accident that might indicate that the risk assessment might be flawed in some way such that the control measures are not suitable and sufficient;After the receipt of and enforcement notice that would require the workplace activity to be reviewed and control measures revised in order to satisfy the conditions within the notice to have it closed;After a change in legislation, guidance or Approved Codes of Practice or even changes to accepted industry best practices such that more effective control measures can be utilised to better protect those who could be affected by the activities.

4. Outline the purpose and legal status of existing:

(a) Health and Safety Regulations; (4)

These are secondary legislation known as Statutory Instruments. They are issued by the Secretary of State off the back of the Health and Safety at Work etc. Act 1974 (HSWA) to amplify and expand on the requirements of the act. For example Section 2(2)e of HSWA requires the employer to provide a Safe Working Environment with Adequate Welfare. The Workplace Health, Safety and Welfare Regulations takes this requirement and expands on what should be provided to fully meet this legal requirement.

(b) HSC Approved Codes of Practice. (4)

These documents are issued in support of a Regulation and interpret the legal requirements in the legislation and make it easy to understand. Additionally they set the minimum standards that need to be achieved to comply with the requirements of the regulation, but it can be achieved any way the employer wants as long as the minimum standard is achieved or exceeded.. Because they set minimum standards, these documents can be used as evidence in a court of law, however the employer would be charged with breaching the regulation that the ACoP was written to support and not the ACoP. A good example is the Highway Code, which is the ACoP for road transport legislation.

5 Outline initial actions that should be taken following a major accident at work. (8)

The initial actions would be to provide initial care to the injured person after making sure the area is safe; this initial care would normally be provided by the organisations first aider who would be summoned immediately with the emergency services being called to provide the professional medical care and transport to hospital for further treatment if necessary. Being a specified injury this accident would be reportable under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) immediately, which would be by telephone. The responsible person for reporting the incident is the employer of the employee who was injured, or in the event of a visitor it would be the controller of the premises. After initial reporting, the incident would need to be fully investigated to determine the immediate and underlying or root causes and within 10 days submit a fully completed F2508 using the HSE online website facility. In addition to the RIDDOR requirement, there is also a requirement to enter the incident into the BI510 (or equivalent) Accident Book to meet the requirements of the Social Security (Claims and Payments) Regulations.

6. (a) Give examples of a confined space. (2)

A live sewage tunnel owing to the presence of gases and potential for asphyxiation.


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A manhole drain owing to the difficulty of vertical access and egress into the drain.An underground water reservoir that has been drained for work to be carried out owing to the possibility of further water ingress and drowning.

(b) Outline specific hazards associated with working in a confined space. (6)

Oxygen deficiency as a result of oxidisation from chemicals or consumption by people leading to possible collapse and asphyxiation.Presence of toxic gases which could cause permanent health problems or even death. An example of such a gas would be carbon monoxide.The presence of flammable or explosive gases which in the event of a potential source of ignition such as a spark could result in a fire or explosion.Hostile environmental hazards such as extremes of temperature e.g. the residual heat in a large oven which if not allowed to cool to a safe temperature could result in serious burns, heat exhaustion or possible collapse if it is to be accessed for maintenance work.Access/egress problems, requiring the use of an emergency team to winch people into and out of the work area and deal with any possible emergency situation that might arise.

7. (a) Outline the legal requirements placed on employers to have a written health & safety policy. (2)


(b) Identify categories of persons who may be included in the ‘organisation’ section of a health and safety policy AND give an example of a specific responsibility in EACH case. (6)

The Managing Director or Chief Executive Officer ~ responsible for providing leadership and adequate resources for health and safety including people, time, money and training for employees to fulfil their health and safety responsibilities.Directors of the company who make up the board of directors ~ responsible to the MD or CEO for the implementation of the H&S Policy within the parts of the organisation they are responsible for.Senior managers who are in charge of and run departments ~ responsible for ensuring that the necessary procedures are developed and implemented for the effective management of health and safety, including risk assessments and safe systems of work.Line managers or project managers ~ responsible for implementing the developed procedures, carrying out risk assessments for the activities within their areas of responsibility and writing safe systems of work around the control measures identified in the risk assessments.Supervisors and/or foremen ~ ensuring the safe systems of work are followed by employees, monitoring their effectiveness and reporting any deficiencies. This would also include the reporting and recording of incidents and accidents.Fire marshals or fire wardens ~ ensuring that control measures identified in the fire risk assessment are implemented, maintained and tested as suitable intervals.First aider's ~ ensuring that provisioned first aid facilities are checked on a regular basis and restocked as necessary.The competent person appointed by the employer to act as competent advice within the organisation ~ providing specialist advice on the adequacy of the H&S Policy, reviewing the policy, giving advice on legislation, assisting with the risk assessment process and the development of safe systems of work.


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8 An employee fell down a flight of stairs at work while carrying a box of letters to the mail room and broke an arm.

(a) Describe the requirements for reporting the accident to the reporting agency. (3)

The initial actions would be to provide initial care to the injured person after making sure the area is safe; this initial care would normally be provided by the organisations first aider who would be summoned immediately with the emergency services being called to provide the provisional care and transport to hospital for further treatment. The incident should be reportable under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) immediately, as a specified injury; this would be by telephone. The responsible person for reporting the incident is the employer. After the initial reporting, the incident would need to be fully investigated to determine the immediate and underlying or root causes and within 10 days submit a fully completed F2508 using the HSE online website facility.

(b) Give the information that should be contained in the accident report. (5)

The date, time and location of the accident;Personal details of the person who was injured including such information as name and contact details (e.g. address);The status of the person who was injured, e.g. employee, visitor, contractor etc.The details circumstances leading up to the accident which would include the nature of the activity being undertaken;The treatment administered to the injured person and what happened to the individual after the incident e.g. taken away by ambulance, taken to A&E by taxi or by another member of staff etc;Details of the finding of any accident investigation which would include what was determined to be the immediate cause or causes and the underlying or root causes, i.e. the reasons why the immediate cause occurred; andDetails of what measures have been implemented in order to prevent reoccurrence of the accident in the future.

9. Outline the main principles of prevention that can be used to help reduce the risk of injury from hazards identified in the workplace. (8)

AvoidAvoid activities that could expose workers to hazard e.g. do not work at height if the item could be lowered to the ground to be worked on such as a hinged lighting column.EvaluateAny hazards that cannot be avoided, carry out a risk assessment of the activity.Combat the risk at sourceWhen working at height provide a safe working platform with handrails so matter who is working there are protected from falling. Or isolating the power supply to a particular item of equipment to be worked on so that it cannot be activated and put the maintenance operatives at risk such as in a lift plant room.Adapt the work to the individualAlleviating work which is monotonous or boring to prevent people going into ‘auto-pilot’. Make sure there is enough space and light so anyone can work there safely. If there are alternative acceptable methods of work, let the operative choose the one that suits them the best.Adapt to technologyUsing remote controlled equipment to keep the person away from potential risks e.g. if surveying physically difficult areas to access use a drone with a camera fitted to it or using a remote controlled breaker to demolish a structure etc.Change the dangerous for the less dangerousInstead of cleaning windows from a ladder use a water fed pole, instead of dry cutting a


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kerbstone, wet cut to keep the dust down or replace solvent based paints with water based ones.Develop a coherent overall prevention policyHave a H&S policy that requires activities to be properly planned and organised by competent people. Equipment and materials that are safe (e.g. not working from ladders or step ladders or using toxic substances) are procured and utilised in work activities. Making sure operatives have high quality training, and the work activities are properly monitored and controlled by a competent supervisor. Give collective protective measures priority over individual protect measures.Where there are residual risks that cannot be controlled, so far as is reasonably practicable, by any other means, provide personal protective equipment to reduce the risk of harm or ill-health from these hazards/risks.Provide operatives with information and instruction Tell employees about the hazards from the work activity and the control measures required to mitigate those risks, Tell them about residual risks and reasons for wear any specified PPE to protect them from these.

10. (a) Outline why it is important for an organisation to develop and maintain emergency procedures. (4)

Emergency procedures are important so that should a foreseeable incident occur it can be dealt with quickly and effectively to minimise the potential impact of the emergency and restore the organisations processes back to normal operations.To do this the organisation needs to establish and delegate responsibilities to key members of staff on the actions they need to take in the event of an emergency and develop procedures for these members of staff to follow. This would include having a focal point for control of the incident that has good communications and the necessary resources to deal with the emergency (e.g. spill kits for a potential chemical spill).Once this has been done, training of all staff in the emergency procedures will need to be undertaken and practiced to ensure that personnel have understood the training and that the procedure works.

(b) When developing emergency procedures, outline why the arrangements for contacting the emergency rescue services need to be included. (4)

Arrangements for contacting the emergency rescue services need to be included so that nominated persons know the relevant contact numbers to be used (e.g. fire, ambulance, gas, electricity, water etc.) without have to resort to directory services which could waste valuable time.Allocation of responsibility for telephoning reduces the possibility of some staff believing other employees will be making this call and visa-versa such that no one actually immediately makes the call when the emergency occurs.Contacting the emergency early means that they will arrive at the earliest opportunity to assist with the emergency before the incident deteriorates to a situation where they cannot quickly contained the seriousness of the event escalates.

11. Give reasons why employers should keep records of accidents at work and work-related ill-health. (8)

Human or Moral.Employees are engage to use their skill and labour to undertake activities for the employer and should not be harmed or subject to ill-heath that prevents them from enjoying the fruits of their labours in their own time.

Legal.Records of accidents have to be recorded in an accident book under the Social Security Claims and Payments Regulations where the employer engages 10 or more employees on or about the premises at the same time. Additionally, the accident may need to be reported und the Reporting


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of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) and the information would be need to be able to submit a fully complete F2508 report.

Financial.All accidents will have a financial cost associate with it. This could be repair or replacement of plant or materials, employment of temporary staff, costs of civil and criminal actions taken against the organisation, loss of orders and delays to contracts to name just a few. Costs relating to these will only be possible if such accidents are reported and recorded in the first place, so that investigations can be undertaken to determine the associated financial impact on the organisation.


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Mock Exam 5 Answers - NGC1 – The Management of Safety and Health1 A visitor being shown around a site by a supervisor slipped on a patch of oil on a warehouse floor while

taking a short cut. The visitor was admitted to, and remained, in hospital for several days.

(a) Outline the legal requirements for the reporting of this accident to the enforcing agency. (4)

The initial actions would be to provide initial care to the injured person after making sure the area is safe; this initial care would normally be provided by the organisations first aider who would be summoned immediately with the emergency services being called to provide the professional medical care and transport to hospital for further treatment if necessary. Being a visitor kept in hospital for several days the incident would be reported as a specified injury and be reportable under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) immediately, which would be by telephone. The responsible person for reporting the incident involving a visitor is the controller of the premises. After initial reporting, the incident would need to be fully investigated to determine the immediate and underlying or root causes and within 10 days submit a fully completed F2508 using the HSE online website facility.

(b) Explain, with reasons in EACH case, possible breaches of the Health and Safety at Work etc. Act 1974 by:

(i) The employer; (10)

Section 2(1) of the HSWA ’74 gives the general duty of the employer to employees which is to ensure, so far as is reasonably practicable, the health, safety and welfare at work of their employees. Even though a visitor was injured, it could well have been the supervisor so this duty would have been breached.Section 2(2)(a) lays a duty on the employer to provide safe plant and safe system of work to, so far as reasonably practicable, so that it does not present a risk to safety and health of employees. Section 2(2)(b) lays a duty on the employer to provide, so far as is reasonable practicable, safe handling, storage, transportation and use of articles and substances. As a substance had been spilt there is the potential that there as been a breach of this legal requirement.Section 2(2)(d) lays a duty on the employer to provide, so far as is reasonably practicable, a safe place of work with safe access and egress. Although in this case a visitor was injured, it could as well have been the supervisor.Section 2(2)(e) lays a duty on the employer to provide, so far as is reasonably practicable, a safe working environment with adequate welfare. Again the spillage on the floor indicates a failure to provide this safe working environment which could have caused harm to the supervisor.Section 3(a) lays a duty on an employer to ensure, so far as is reasonably practicable, that his undertakings do not cause harm to non-employees, e.g. the visitor. As the visitor was injured, it indicates that this duty had been breached.Section 4 lays a duty on the controller of premises to provide, so far as is reasonably practicable safe access and egress in shared areas. If the premises had more than one employer working in the area this duty will also have been breached.

(ii) The supervisor. (4)

Section 7(a) requires an employee to take reasonable care of themselves and others by their acts or omissions. The act of taking a visitor along a short cut would indicate a breach of this particular duty. Section 7(b) requires an employee to cooperate so far as may be necessary with their employer so that the employer can comply with his duties. Had the supervisor been specifically instructed not to take visitors along unauthorised routes, then this duty would also have been breached.

(c) Identify government authorities that could prosecute the employer for breaches of the Health and Safety at Work etc. Act 1974. (2)


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The Local Authority, in particular Environmental Health Officers for such areas as leisure facilities, theatres, restaurants etc.The Health and Safety Executive for such activities such as commercial, industrial and broadcasting.The Office of Rail Regulation for the rail operations.The Crown Prosecution Service for higher court prosecutions in England and WalesThe Procurator Fiscal in Scotland for all prosecutions.


Involving members of staff in all aspects of health and safety, in particular, the risk assessment process and development of safe systems of work. Also, management setting up a safety committee with employee’s representatives in attendance that meets regularly with an agenda and published minutes.

Properly developed safe systems of work based on the findings of suitable and sufficient risk assessments of all work activities which are subject to regular review in order to ensure that they remain relevant and up to date.

Well organised traffic management system implemented to ensure the safe movement of people and vehicles within the workplace with defined separate routes for people and vehicles.

Good environmental conditions; lighting, ventilation, temperature and good housekeeping procedures that ensures routes are kept clear and waste is suitable disposed of and not allowed to accumulate.

Good, well maintained welfare facilities including sanitary conveniences, washing facilities, showers, changing rooms, lockers and drying rooms as appropriate to the workplace activities. The provision of suitable rest rooms, including adequate supplies of drinking water, for the numbers of staff and means for people to prepare drinks and food; this could extend to the provision of a canteen.

Senior management not only developing and implementing procedures, but also leading by example and fully complying with any rules including the wearing of personal protective equipment.

Senior management being involved in monitoring activities and undertaking audits of the workplace and talking to members of staff to illicit their views on the adequacy of the organisations health and safety management system.

3. (a) Give the meaning of the term negligence. (2)

Negligence is a failure to exercise reasonable care to an employee or a neighbour and involves a “Reasonable Man Test” i.e. doing something a reasonable person wouldn’t do or not doing something a reasonable person would do. The duty of care expected has been established under judicial precedence in Common Law.

(b) Give examples of a negligent act by an employer. (2)

Failure to provide a safe place of work with safe access and egress;Failure to provide safe plant and safe systems of work;Failure to provide information, instruction and training to employees to ensure their health and safety; andFailure to provide adequate levels of supervision.

(c) Outline the role of the civil court with regard to health and safety matters. (4)

The role of civil courts is to hear claims for alleged ‘tort of negligence’ in order to determine whether the defendant breached their duty of care owed to the claimant under Common Law precedence. If negligence is proven ‘on the balance of probability’, the court will determine the level of compensation owed to the claimant as a result of the breach and this will be awarded as damages.


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4. The managing director of a construction organisation has ordered an untrained employee to use an excavator that has been served a prohibition notice due to its defective brakes. During use, the excavator topples into an excavation injuring both the employee and sub-contractor.Identify the possible breaches of the Health and Safety at Work etc Act 1974 (AND give examples of EACH) by:

(a) The organisation; (4)

Section 2(2)(a) requires employers to provide, so far as is reasonably practicable, safe plant and safe systems of work, by asking an operative to use a defective item of work equipment this duty would have been breached.Under section 2(2)(c) employers are required to provide employees with information, instruction and training, so far as is reasonably practicable, to enable them to undertake their work activities in a safe manner. By asking any employee to use an item of work equipment that they have not been trained to operate, particularly those with specific risks, this legal duty would have been breached.

(b) The managing director (4)

Section 7a requires employees to take reasonable care of themselves and others by their acts or omissions, what to do or do not do. If they were aware of that an item of equipment is defective, yet still decide to direct another employee to go ahead and use it they could be considered to have breached this legal duty.Section 22 of the covers prohibition notices and once in receipt of a notice it stops the use of the equipment to which the notice refers and it cannot be used until the situation has been rectified and the notice lifted. By continuing to allow equipment subject to such a notice this legal duty would have been breached by the director.

5. (a) Outline legal requirements placed on employers to have a written health and safety policy.

(2)


(b) Outline the typical content of the ‘statement of intent’ section of the health and safety policy.

(6)

It should contain aims (which are not measurable) and objectives (which are measurable) of the company. It should commit to complying with key pieces of legislation applying to their area of operations including the Health and Safety at Work etc. Act 1974 and the Management of Health and Safety at Work Regulations 1999. It should commit to undertaking risk assessments and putting together safe systems of work for all significant work activities. It should commit to training their employees to undertaken their activities, both initial and refresher where appropriate. It should commit to monitoring health and safety performance both proactively and reactively and where deficiencies are identified implementing additional controls to prevent occurrence (proactive) or reoccurrence (reactive). It should be signed and dated by the most senior member of management to demonstrate management commitment and to give it authority.

6. An organisation is considering expanding to a shared site.

(a) Outline factors that should be considered when carrying out a risk assessment of the first-aid provision on the site. (6)

Type of work or operations being carried out;Lone workers or scattered isolated locations;


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If there are special or unusual hazards;If shift work is being undertaken;The maximum number of people on site;Remoteness to emergency services;Cover for holidays and sickness;Presence of workplace trainees;The history of accidents on site;The types of people who may need to be treated;Current 1st aid provision (e.g. shared site); etc

This is an outline question so some examples would need to be included.

(b) Identify the main functions of first-aid treatment. (2)

To provide immediate medical treatment as a result of an injury or ill-health in order to sustain life and prevent the condition from deteriorating until professional medical assistance can be provided. This might include preventing major bleeds, treating serious burns, immobilising broken/fractured limbs or treating the injured person for shock.

To treat those injuries that may go untreated and become infected or more serious sometime after the event. These types of incident are of a less serious nature and do not initially need treatment by a medical practitioner.

7. Identify duties of employers to their employees under section 2 of the Health and Safety at Work etc. Act 1974. (8)

Section 2(1)All employers are to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all their employees.Section 2(2) require employers to provide, so far as is reasonably practicable to ensure the health and safety of their employees:

Safe plant and safe systems of work;Safe handling, transportation, storage and use of articles and substances;The provision of information, instruction, training and supervision;The provision of a safe place of work with safe access and egress; andA safe working environment with adequate welfare facilities.

Section 2(3)Requires employers to have a health and safety policy consisting of a statement of policy, the organisation and the arrangements currently in force for health and safety. To keep the policy under review and bring any amendments to the attention of their employees. Where there are 5 or more employees this policy has to be in writing.Section 2(4)(6)(7)Requires employers, where there are recognised trade unions, to consult with the employees through the representatives appointed to represent them. Where 2 or more trade union trade union representatives request in writing for a safety committee to be established, the employer is to set one up within three months.

8. Outline factors that may increase risk to pregnant employees in the workplace. (8)

Shift work is known to increase stress on the body and long and arduous work patterns could also pose risks. The hours the women works needs to be considered with the aim ideally of moving her onto a regular day orientated work schedule; especially later in the pregnancy. Additionally exposure to stressful situations and/or the threat of violence would also pose a risk although the later in this situation would probably only be as a result of disputes with work colleagues.

Hazardous manual handling could cause unnecessary stresses on the woman’s body putting the viability of the baby at risk so such activities would need to be eliminated from her work.


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Chemical or biological agents and ionising radiation can cause serious harm to the woman’s body and would be even more dangerous to a developing foetus, giving the potential to serious birth defects or health issues. Therefore, the materials the woman is handling, either occasionally or on a regular basis as they are part of the production line process need to be either eliminated for toxic substances or reduced to an acceptable safe level for harmful substances.

The workstation and its suitability as to the ergonomics of the operatives activities, might present difficulties, regardless if it is a standing or a seated position. As the foetus develops and grows and the workstation would need to be assessed for its continued suitability.

During the pregnancy the lady would need to have quick and easy access to welfare facilities, so these would need to be in close proximity to her workstation. Additionally, separate facilities should be considered so that she will be able to take a break from all pressures if necessary. Passive smoking could be an issue; however, as smoking in workplaces is now banned in this particular case it should not be an issue that would need to be assessed.

Where the production line work was considered to expose the expectant mother and/or the unborn child at risk then alternative work should be considered of a safe nature, and if this was not viable, then the woman would need to be given time off with full pay.

9. (a) Give the meaning of the term ‘confined space’. (2)

A confined space is a space which is substantially, although not always totally enclosed and where there is a serious risk to the health and safety of operatives working in the area from the conditions in the space, the difficulty of accessing or egressing the space or from the chemicals and/or gases being taken into or may be present in the space.

(b) Give examples of a confined space. (2)

A live sewage tunnel owing to the presence of gases and potential for asphyxiation.A manhole drain owing to the difficulty of vertical access and egress into the drain.An underground water reservoir that has been drained for work to be carried out owing to the possibility of further water ingress and drowning.

(c) Outline how employees working in a confined space could call for assistance in an emergency. (4)

One method to would to provide the employees working in the confined space with suitable radios and reciprocal ones with a rescue team outside of the space. If necessary a leakage line might need to be installed into the space to pick up the radio signals to move it the necessary distance between the two parties.Another method would be to have safety men posted in line of sight of the employees so that assistance is required the safety man would be able to see the problem and react. If the space is such that there is not a clear line of sight between the safety man and the operatives additional safety men would need to be posted along the route. These safety men could also be issued with radios for communication.Less effective could be the use of tug lines which can be pulled to attract attention to the person allocated to monitor the line.

10 Outline barriers that may prevent acceptable standards of health and safety being maintained. (8)

Lack of senior management commitment to health and safety; considered to be an add-on to meet minimum legal requirements rather than embodying it into all aspects of the organisations activities.Lack of a suitable management structure such that one individual has too many members of staff to control and is therefore unable to ensure the effective implementation of the control measures required by any established safe system of work. This would also include a lack of suitable supervision of activities whilst they were being undertaken.Lack of the allocation of resources for health and safety such as suitably skilled staff with the necessary time to properly plan and organise the necessary workplace activities to ensure they


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are undertaken without risk to those who could be harmed.Lack of an appropriate health and safety policy and the necessary documented arrangements that staff delegated with health and safety responsibilities follow to ensure that the appropriate standards are achieved.Lack of involvement of staff in the planning and implementation of health and safety resulting in a lack of individual ownership resulting in a poor health and safety culture.Lack of monitoring of health and safety performance standards, both actively and reactively, so that any shortfalls can be allocated sufficient resources to resolve them.


Involving members of staff in all aspects of health and safety, and in particular, the risk assessment process and development of safe systems of work. Also, management setting up a safety committee with employee’s representatives in attendance that meet regularly with an agenda and published minutes.

Properly developed safe systems of work based on the findings of suitable and sufficient risk assessments of all work activities which are subject to regular review in order to ensure that they remain relevant and up to date.

Well organised traffic management system implemented to ensure the safe movement of people and vehicles within the workplace with defined separate routes for people and vehicles.

Good environmental conditions; lighting, ventilation, temperature and good housekeeping procedures that ensures routes are kept clear and waste is suitably disposed of and not allowed to accumulate.

Good, well maintained welfare facilities including sanitary conveniences, washing facilities, showers, changing rooms, lockers and drying rooms as appropriate to the workplace activities. The provision of suitable rest rooms, for the numbers of staff, including adequate supplies of drinking water and means for people to prepare drinks and food, which in some cases might include a canteen.

Senior management not only developing and implementing procedures, but also leading by example and fully complying with any rules including the wearing of personal protective equipment.


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Mock Exam 6 Answers - NGC1 – The Management of Safety and Health1 An accident has been attributed to the failure of an employer to implement an appropriate permit-to-

work system.

(a) Outline key elements of a permit-to-work system. (6)

A typical Permit-to-Work would cover:

The nature of the work activity to be undertaken and a description of the area/ environment in which the work is to be carried out.

It would identify the hazards arising from the activity and the control measures to be implement including any isolations and lock offs of potential sources of harm where the work is to be carried out (signatures would be needed to confirm these actions).

Identification of the qualifications and experience of the operatives needed to undertake the work would be identified along with the necessary resources including plant, equipment, materials and personal protective equipment.

Emergency procedures will be detailed for the work, so that should a foreseeable emergency occur, an effective practiced action plan is in place to rescue individuals that become trapped or disabled such that they cannot get themselves out of danger. This plan would also cover emergencies such as fire and first aid treatment.

The permit would detail the person authorising the work as well as the recipient of the permit. These two signatories would be authorised persons and be trained in the permits operation.

The permit will also detail the time period for which the permit is valid, means of cancelling the permit or extending it as well as the normal closure procedure to be undertaking before returning the equipment or system back to operational use.

(b) Outline types of work situation that might require a permit-to-work system AND give reasons in EACH case for the requirement. (8)

Electrical permit where the circuit to be worked on would need to be isolated and tested to ensure that the correct circuit has been switched off and locked off. The keys for the lock would normally be held by the person undertaking the work and, if more that one person were working on the system, both would have their own locking off devices. Only if all of the above were in place would the work be permitted to proceed.

Confined space permit where the atmosphere would be tested before entry and ongoing air monitoring carried out during the work. The permit would also ensure those involved had attended confined spaces training and that an emergency rescue procedure had been developed and tested so that should someone collapse they could be promptly rescued.

Hot works permit. This would ensure that all flammable materials had been removed from the work area; where materials could not be moved then they would be shielded from the heat. A suitable means of fighting a fire would need to be present during the works. Once work had finished a visit would be taken to inspect the work place an hour or so later to ensure there was no residual heat that could result in a fire starting at a later time.

Permit to work adjacent to overhead power lines. This would make sure that suitable barriers had been erected adjacent to the lines to ensure that equipment could not go close enough to the lines to arc across to the equipment. The permit would ensure that the safety distance had been established in consultation with the local utility company.

(c) Describe the actions that an enforcing agency could take in this situation. (6)

They could give informal verbal advice about actions to take to prevent the situation reoccurring in the future.


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They could give formal written advice giving details of what needs to be improved to prevent future reoccurrence, this would also require the organisation to respond to the enforcing authority that it had implemented those written recommendations.

Issue of an Improvement Notice. This would be issued if in the opinion of the inspector a breach of statutory legislation, but no foreseeability of harm or ill-health.

Issue of a Prohibition Notice. This would be issued where in the opinion of the inspector imminent possibility of serious harm or ill-health and would stop the activity until the condition given rise to the opinion had been rectified.

Prosecution. In the case of a serious breach, the inspector might decide to initiate prosecution proceedings against the organisation in order to punish them and in so doing, deter them from committing any further offences.

2 Outline factors that should be considered in order to help ensure an effective witness interview technique following a workplace accident. (8)

For an effective witness interview:

The interviewer must be objective and have available to them all the necessary information (as appropriate) to conduct the interview such as: equipment details including maintenance records, substances register and relevant training records. They must also know the interviewee’s name and role within the organisation or in relation to the event.

Where possible it would be preferable to have one interviewee and one interviewer at a time. Have a good introduction explaining the purpose of the interview and the ultimate aim and objective (e.g. to prevent reoccurrence of the event). Establish some common ground to get the interviewee on home ground and feeling comfortable with the process.

Once the interview commences try to maintain rapport by ensuring no interruptions by you or others, using open questions, avoiding multiple or complex questions and avoid any pre-judgemental bias.

Recording interviews will ensure that you do not forget what was asked and answered; it will prevent confusion between interviews. However, if audio recording then you must get the interviewee consent, otherwise records will need to be in note form.

When closing an interview, review notes (maybe get both parties to initial them) and ask the interviewee their thoughts on prevention. Thank them for their assistance and inform them that there might be a need for possible future interviews if, at a later time, some of the points need to be further clarified.

3. Outline ways in which health and safety culture of an organisation might be improved. (8)

The factors that affect the culture of an organisation can attributed to three specific areas; the Organisation, the Job and the Individual. Each factor can be considered when looking to improve the health and safety culture.

Making sure that the organisational structure of the company is such that activities can be properly planning and organised so that the correct resources are made available to undertake the work. Having documented procedures that people follow so that a consistent high standard of controls are selected and implemented to protect employees and others who could be affected by the organisations activities. In particular this would include undertaking risk assessments and putting together safe systems of work. Making sure procurement does not look to save money, but rather sources materials, plant and equipment that are safe; i.e. hazards are controlled at source. Making sure that when activities are being undertaken that they are properly controlled and monitored to ensure any control measures are implemented and are effective. Making sure workers are trained to give them the skills to undertake their work, including refresher training. Promoting an open door policy so problems can be reported and acted upon without needing to blames someone for non-conformances. Making sure workers have the correct work/life balance and do not get pressurised to undertake excessive overtime and that they have well defined roles and responsibilities with mutually agreed goals and targets for their work activities. Keeping the workplace clean and tidy with good environmental standards


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(heating/lighting/access/egress) and providing high quality welfare so that during breaks staff have facilities to wash and sit down for breaks and meals, have access to sanitary conveniences and lockers and changing rooms where appropriate.

4. Outline strengths and weaknesses of using a checklist to complete a health and safety inspection of a workplace. (8)

Strengths:Ensures that the inspection examines the same workplace facilities on each occasion enabling one to be compared with another;It ensures no areas are omitted or missed by the person undertaking the inspection;It does not requirement the individual carrying out the inspection to have in-depth knowledge of the area as long as the checklist has be put together by someone who was knowledgeable;It ensures that not just one facet of health and safety is inspected such as plant, but all areas (i.e. premises, plant, people and procedures).

Weaknesses:If a non-conformance is not on the checklist, it could be missed and therefore not addressed;The person carrying out the inspection might get complacent and just walk round ticking the boxes, or even worse, tick the boxes without visiting the workplace;It relies on the person who compiled the checklist be competent and experienced, if not the list might not be ‘fit for purpose’.The checklist might not have the mechanism to identify and rectify the measures to resolve the issues raised.

5 (a) Give the meaning of the term ‘so far as is reasonably practicable’. (2)

‘So far as reasonably practicable’ means that the employer is allowed to make a judgement call on how far to go with control measures by comparing risk with the cost of reducing the risk in terms of time, trouble, effort and inconvenience as well as money. If the risk is low and the cost of further reduction is high, the employer can decide that it is ‘not reasonably’ practical to do more than has been already done. A paper cut in an office environment is low risk and reducing it by the use of gloves is disproportionate to the risk, however, a paper cut in a laboratory that handles infectious diseases would be high risk and gloves would be necessary.

(b) Outline general and specific duties of employers under section 2 of the Health and Safety at Work etc Act 1974. (6)

Section 2(1)All employers are to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all their employees.Section 2(2) requires employers to ensure, so far as is reasonably practicable, the health and safety of their employees by the provision of:

Safe plant and safe systems of work;Safe handling, transportation, storage and use of articles and substances;The provision of information, instruction, training and supervision;The provision of a safe place of work with safe access and egress; andA safe working environment with adequate welfare facilities.

Section 2(3)Requires employers to have a health and safety policy consisting of a statement of policy, the organisation and the arrangements currently in force for health and safety. To keep the policy under review and bring any amendments to the attention of their employees. Where there are 5 or more employees this policy has to be in writing.Section 2(4)(6)(7)


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Requires employers, where there are recognised trade unions, to consult with the employees through the representatives appointed to represent them. Where 2 or more trade union trade union representatives request in writing for a safety committee to be established, the employer must establish one within three months.

6. (a) Give, using a workplace example, the meaning of the term ‘risk’. (3)

A hazard is something with the potential to cause harm and the ‘risk’ from a hazard is the likelihood that the harm will be realised on those persons deemed to be at risk. Electricity is a hazard and, if there is a damaged cable with live conductors exposed, there is a risk that it will cause harm.

(b) Identify the key stages of a workplace risk assessment. (5)

Step 1 – Identify the hazards:Hazards are anything with the potential to cause harm and can be identified by: observation of locations and activities; talking to people with experience of the activity including those who will be involved in the activity; reading documentation including operational and maintenance manuals and material safety data sheets and consulting past records of previous risk assessments for similar activities and maybe records of near misses or previous accidents/incidents.Step 2 – Identify those who could be harmed and how:Consideration should be given to: those who are directly involved in the activity; those who may be in the area when the task is being carried out; people with disabilities; new and expectant mothers and young persons to name just a few.Step 3 – Evaluate the risk:Using a severity and likelihood scoring system rate the risk given the existing control measures and determine if they are adequate. If not additional control measures need to be determined and prioritised in order to reduce the risk as low as reasonably practicable - a residual risk score would need to be appended with all control measures implemented to demonstrate this.Step 4 – Make a written record and arrange for the controls to be implemented:Once the risk assessment has been completed, a written record should be made of the significant findings of the risk assessment. This means that trivial hazards do not need to be recorded, even if they have been considered during the process. No risk assessment can ever be perfect, but it should be ‘suitable and sufficient’.Step 5 – Monitor and review:Once the activity is being undertaken, it should be monitored to ensure that the control measures are being implemented and that they are achieving the level of control that was anticipated. If not the risk assessment should be reviewed and revised before a possible accident occurs.


The employers’ liability insurance is taken out to cover 3 specific legislative requirements. The Employers’ (Compulsory Insurance) Act (covers compensation for employees), the Occupiers Liability Act 1957 (covers compensation for authorised visitors) and the Occupiers Liability Act 1974 (covers compensation for the unauthorised visitor such as a trespasser). The insurance will ensure, regardless of whether of not the company goes into receivership or liquidation that persons injured as a result of an employers activities will be able to seek redress for compensation from the insurance company.

(b) Identify possible uninsured costs of a workplace incident. (6)

Cost of advertising, interviewing, recruiting and training of new employees to replace those who have been injured and unable to return to work.

Costs of overtime to cover the activities of those who have been injured or employment of temporary staff to do the same (e.g. agency workers).


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Cost of lost time of other employees who investigate the accident and maybe attend hearings and courts.

Costs associated with a loss of a specialist or key member of staff as a result of them being injured and absent from work.

Costs of sanctions imposed on the company as a result of criminal actions taken by the state against the company for failure to comply with a statutory duty.

Cost associated with a loss of business whilst dealing with the accident or as a result of loss of future orders owing to their reputation being tarnished.

Cost of reviewing and revising risk assessments and safe systems of work relating to the accident and the re-training of staff in regard to the changes made to these documents.

8. Outline external and internal influences that might initiate a health and safety policy review (8)

Internal:When monitoring activities indicate poor compliance with company procedures or failure to achieve set performance targets;After any serious incident or accident that might indicate control measures being implement are not suitable and sufficient;Changes in key personnel (e.g. MD), changes in processes or technology used would also invoke a review; andIf for no other reasons, then the policy would be reviewed after a suitable lapse of time, usually annually.

External:Changes in legislation applicable to the organisation requiring the policy to be amended to reflect relevant changes;As the result of a change in the contents of an Approved Code of Practice (ACoP) or official/trade related guidance which relates to the activities being undertaken by the organisation;As the result of enforcement action by enforcement bodies such as improvement or prohibition notices or criminal sanctions that would indicate failings in the management system; andIf the insurance company providing the organisations liability insurance request it.

9. An employee has suffered a fatal injury at work.

(a) Outline the procedure for reporting the accident to the enforcing agency. (4)

A fatal injury at work is reportable under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) immediately by telephone. The responsible person for reporting the incident is the employer of the employee who was injured, or in the event of a visitor or member of the public it would be the controller of the premises. After initial reporting, the incident would need to be fully investigated to determine the immediate and underlying or root causes and within 10 days submit a fully completed F2508 using the HSE online website facility.

(b) Identify who should be informed of the accident, other that the enforcing agency. (4)

The police and the coroner. The police would initially take control of the scene and inform the coroner who would eventually be required to rule on the cause of death.The injured employee’s next of kin which would be undertaken by the policy.The organisations senior management who are ultimately responsible for their health and safety of employees whilst at work and, if they have one, the head of the organisations health and safety department.The organisations solicitors, who would provide advice on the legal aspects relating to the accident.


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The organisations insurance company who may ultimately be responsible for paying compensation to the employees’ family if determined that the organisation had been negligent.

10.

(a) Outline legal requirements placed on the employers to have a written health and safety policy. (2)


(b) Outline the purposes of EACH of the following sections of the health and safety policy.

(i) Statement of Intent; (2)

The purpose is to give senior managements’ overall aims and objectives and commitment to complying with health and safety legislation (in particular the Health and Safety at Work Act 1974) in order to protect the health, safety and welfare at work of their employees and others who may be affected by its activities.

(ii) Organisation; and (2)

The purpose of this section of the policy is to delegate, for each level of management down to employees, individual and collective responsibilities for health and safety, which if they follow, will ensure that the aims and objectives stated in the Statement of Policy are achieved. It will also show, normally in the form of an organisation diagram the normal lines of communication between all levels for health and safety management.

(iii) Arrangements. (2)

The purpose of this section is detail the procedures, practices and/or safe systems of work to be followed by those who have been delegated health and safety responsibilities to follow to ensure that a high standard of compliance with health and safety is consistently achieved. Arrangements that might be covered are: risk assessments, training including at induction, plant maintenance, monitoring activities etc.

11 With respect to the Safety Representatives and Safety Committees Regulations 1977;

(a) Outline when a safety representative is legally entitled to inspect the workplace. (6)

Entitled to inspect the workplace:As long as notice is given in writing first and the area/activity to be inspected has not been inspected it in the previous 3 months;Where there has been a substantial change in the conditions of work or new information has been published by the HSE and include such things as the introduction of new technology, after significant alteration to the premises or a move to a new premises.Where notifiable accident, dangerous occurrence or disease and it is safe to do so and in the interests of employees for whom they represent; this would be undertaken to determine the cause or causes of the incident so that measures can be implemented to prevent reoccurrence.

(b) Outline facilities that an employer may need to provide to safety representatives. (2)

A room, which could be dedicated or shared, where the safety representative could hold meetings in private with the employees the he is appointed to represent.Information technology equipment to produce reports and letters which would include a suitable desk and chair and access to a printer. This workstation should also have the ability to access the internet for research and information purposes (e.g. access to HSE website). Facilities would also encompass the provision of stationary items including such items as pens and paper and a lockable cabinet or similar storage facility where information of personal or confidential nature can be secured when not in use.


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CertificateNGC1

Question Analysis Exercise Answers


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NEBOSH NGC1 QUESTION ANALYSIS ANSWERS

Day 1 Question:

(a) Identify the main common law duties of the employer AND give an example of how EACH duty can be met. (8)

(b) Give the meaning of the following terms:i. Doubled-barrelled action; (2)ii. Contributory negligence. (2)

(c) Outline the main features of:i. Civil law; (4)ii. Criminal law. (4)


a. This part of the question relates to common law and requires a knowledge of employers duty as a result of the Wilson and Clyde Coal v. English case in 1938, and candidates should cover:

A safe place of work with safe access and egress; Safe plant and equipment; A safe system of work; Provision of information, instruction and training to ensure employees

are competent to undertake their work; and Supervision.

Candidates, to gain good marks, need to ensure that they give a practical example how each duty can be met e.g. plant and equipment which is maintained and inspected to ensure it is maintain in good order and safe condition.

b. i.This part of the question is asking for the meaning of specific terms, it has not asked for examples, but one could be given to reinforce your meaning of the term. (i) ‘Doubled barrelled action’ is where the defendant is being sued for a ‘tort breach of negligence’ and a ‘tort breach of statutory duty’ (e.g. under Management of Health and Safety at Work Regulations) at the same time. (ii) ‘Contributory negligence’ is where the claimant in a civil case has been determined as being partly to blame for the incident that result in their injury or loss, and the damages awarded would be adjusted to reflect their share of the blame.

ii.This part of the question requires candidates to outline the main features of civil and criminal law. The following could be covered in their answers, but need to be in the form of an outline and not just a list in


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order to obtain good marks:

(c) (i) – Civil Law:

Purpose is to seek compensation

One individual sues another individual for ‘tort of negligence’

The burden of proof is ‘on the balance of probability’.

If successful, the claimant is awarded compensation in the form of ‘damages’.

The statute of limitations to make a claim is in most circumstances 3 years.

(c) (ii) – Criminal Law:

Purpose is to punish

The state will prosecute an individual or an organisation for breach of statutory duty.

The burden of proof is ‘beyond reasonable doubt’.

If the state is successful, then the defendant can be fined and/or be give a custodial sentence.

There is no statute of limitations for the state to initiate prosecution proceedings.


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Day 2 Question:a. Give the meaning of the following statutory duties:

i. absolute; (2)ii. practicable; (2)

iii. reasonably practicable. (2) b. Outline the duties of employers under section 2 of the Health and Safety at Work etc Act 1974 (HSWA). (6)c. Outline duties placed on employees by:

i. sections 7 and 8 of the Health and Safety at Work etc Act 1974 (HSWA); (4)ii. the Management of Health and Safety at Work Regulations 1999 (MHSWR) (4)

AND give a practical example for EACH duty.

This question relates to statute law and part (a) required the legal meanings of absolute and qualified duties (practicable and reasonably practicable).

a.(i) ‘absolute’: if you state that action must be taken, then one mark can be obtained, but if you can demonstrate a deeper understanding then the second mark can be obtained; MHSWR Reg. 3, every employer shall make suitable and sufficient assessment of risks relating to their activities means all activities must have a risk assessment.

(ii), ‘practicable’: if you just state that action must be taken if it is technologically possible then a mark would have been obtained, but to get the second mark you would need to cover regardless of cost in terms of money, effort etc.

(iii) ‘reasonably practicable’: to gain full marks here you need to explain the relationship between risk and cost (time, trouble, effort etc.) and if balance is achieved then the duty has been fulfilled.

Although examples can be given these are not required to gain full marks when answering the question.

b. Although good marks can be obtained from the knowledge of the duties under section 2(2) (a-e) of the HSWA ’74, potential marks can be lost for not covering the requirement to prepare a health and safety policy and to consult with safety representatives. If you do a list of duties or identify the duty only the number of marks that could be awarded would be restricted.

c. (i) If candidates know the duties under sections 7 and 8 then marks should be easy to obtain, however, do not miss the sting in the tail as the question ends with the words ‘and give a practical example for each duty’.

(ii) Again if candidates know the two additional duties given in Regulation 14 of the Management of Health and Safety at Work Regulations 1999 these are easy marks, as long as you remember to ‘give a practical example for each duty’.


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Day 3 Question:An enforcement inspector has carried out a workplace inspection and has found that a number of work activities have not had general risk assessments completed. (a) Describe the enforcement actions that the inspector could take as a result of the

inspection. (4) (b) Outline the main stages of a general risk assessment AND identify issues that

would need to be considered at EACH stage. (10) (c) Explain the criteria that could be used to priorities any action required as a result

of the completed risk assessments. (6)


(a) The question does not ask for candidates to outline the powers of an inspector (broadly, those defined in the Health and Safety at Work etc Act 1974), but specifically asks for the enforcement actions that they might take in these circumstances. The answer given should therefore describe about giving advice, cautions, enforcement notices, and prosecutions. To gain full marks it is essential to cover the full range of enforcement actions and not just focus on a couple such as only the enforcement notices.

(b) This part of the question asks for the main stages of a risk assessment as given in the HSE’s 5-Steps to a Risk Assessment. A list of the 5 stages will not suffice to gain good marks, but must identify the issues to be covered in each step. Step 1; identifying hazards must therefore cover a range of potential hazards such as ill-health (noise, dust, vibration, hazardous substances etc.) and safety related (work at height, movement of vehicles, machinery etc.) and possibly environmental such as weather. Step 2; should cover those doing the work and any others in the vicinity and should include new and expectant mothers and young persons. Step 3; should cover rating of risk using severity and likelihood given current control measures and would need to identify and prioritise additional control measures needed to reduce the risk to a level as low as reasonably practicable. Step 4: needs to cover the requirement to make a written record of significant finding where there are 5 or more employees and arrangements needed to ensure any additional control measures that have been identified are implemented. Step 5; once the controls have been implemented, monitoring the workplace activity to ensure controls implemented properly and are achieving the required level of protection, if not to review and revise the risk assessment before an incident occurs.

(c) This part of the question specifically asks for an explanation of the criteria that could be used to prioritise any action required as identified in Step 3 and 4. This should cover such things as the level of risk, in particular the potential severity of harm, the higher the risk the greater the priority; the numbers that could be affected and their sensitivity to the harm such as expectant mothers,


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young persons and disabled; the availability of the control measure, if it is going to be a bespoke solution it will often take longer to procure and train of individuals who are to use it; the numbers who will be protected by the control measure where PPE which only protects one person should be last and collective measures given priority.


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Day 4 Question:(a) Identify circumstances that might require a permit-to-work. (4)(b) Outline the functions of a permit-to-work system. (10)(c) Outline the enforcement actions that the HSE inspector might take in this situation. (6)


(a) This part of the question asks for the circumstances where a permit-to-work is required and candidates should have little or no problems gaining maximum marks. If you only referred to ‘high risk activities’ without identifying what these activities might be then marks would not be awarded. Also you cannot just say ‘electrical work’ without demonstrating that it was the need for isolation on an electrical system, or work on a live system, that triggered the need for a permit-to-work.

(b) This part of the questions specifically asks about the functions of a permit-to-work and not the content or details of a permit-to-work, and its different stages. Answers covering such things as the scope of works, identification of hazards, skills of those undertaking the work etc. i.e. they addressed the question and wrote about the purpose or intention of a permit-to-work, would receive higher marks.

(c) The question does not ask for candidates to outline the powers of an inspector (broadly, those defined in the Health and Safety at Work etc. Act 1974), but specifically asks for the enforcement actions that they might take in these circumstances. The answer given should therefore have outline information about giving advice, cautions, enforcement notices, and prosecutions. To gain full marks it is essential to cover the full range of enforcement actions and not just focus on a couple such as only the enforcement notices.


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Day 5 Question:An organisation is investigating an accident. (a) Give the meaning of the term ‘immediate causes’. (2) (b) Give the meaning of the term ‘root causes’. (2) (c) Outline why an organisation should investigate a workplace accident. (8) (d) Identify internal documents that could be examined when investigating a

workplace accident. (8)In the box below for each part of the question write what you understand the examiner is attempting to elicit.

(a) This part of the question is asking for the meaning of the term ‘immediate causes’. It has not asked for examples, but one could be given to reinforce your meaning of the term. The immediate cause of an accident is as a result of an unsafe act or unsafe condition and could have several immediate causes. The unsafe condition can often be as a result of an unsafe act.

(b) As for (a) this part of the question is asking for the meaning of the term ‘root causes’ and again is not asking for examples. The root cause of an accident is in almost all cases a management failure that permitted the unsafe act or unsafe condition to occur.

(c) This is a typical why question and the answer can be broken down into H.E.L., human, economic and legal. Human should cover such things as preventing future accidents that could cause harm or ill-health to employees and others and showing employers care about their employees’ wellbeing. Economic would cover the wide range of costs, both direct and indirect as a result the accident. Legal could cover such things as the information from the investigation may be needed to complete a RIDDOR report if applicable and to have the necessary information to defend against any possible litigation. There is no need to described actions that would follow an accident or the details of how an investigation would be carried out; both of these would waste time and not gain any marks.

(d) This part of the question should be relatively straight-forward for candidates and should cover examples internal documentation that should be examined during a workplace investigation e.g. risk assessments, training records etc.


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Practice Questions


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1. (a) Outline the THREE standard conditions that must be met for an injured employee to prove a case of negligence against their employer following an accident at work. (6)

(b) State the circumstances in which an employer may be held vicariously liable for the negligence of an employee (2)

(a) That a duty of care was owed by the employer to the injured party That the duty was breached That the injury sustained was caused directly by the breach

(b) An employer may be held vicariously liable for the negligence of an employee namely where the employee was acting within the course of his/her employment and, while doing so, negligently caused damage or injury to a third party.

2. (a) Outline the main functions of:

(i) criminal law (2)

(ii) civil law (2)

(b) Explain the principal differences between common law and statute law (4)

(a) (i) Criminal law enforces a code of conduct for society, normally has a protective function and allows the state to take punitive action against those who commit breaches.

(ii) Enables an individual who has suffered harm to gain appropriate recompense from the perpetrator, or to seek an injunction to prevent harm (or further harm) from occurring.

(b) Common law: Developed over time set by judicial precedence (decisions made by judges)

and is written down in law reports In the area of health and safety, the common law tort of negligence forms the

basis of many civil actions.Statute law: Is legislation passed by Parliament and written down in the form of Acts and

Regulations It also lays down requirements and assigns duties and responsibilities. Failure to comply with statute law normally (but not always) constitutes a

criminal offence. Statute law cannot be used in civil actions unless specifically stated under

'Civil Liability' (i.e. a tort breach of statutory duty.

3. When reference to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 12013:

(a) State the legal requirements for reporting a fatality resulting from an accident at work to the relevant enforcing authority. (5)


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(b) Outline THREE categories of work-related injury (other than fatal injuries) that are reportable. (3)

(a) To notify the enforcing authority by the quickest practicable means (by telephone) and then to fully investigate the accident and within 10 days submit a fully complete report on a F2508I using the HSE website online reporting procedure.The responsible person under the Regulations has the duty to notify the accident. If the person who died was an employee then the responsible person is the employer, however, if was a non-employee then it is the person in control of the premises.Delayed deaths, up to one year after the original accident, have to be reported whether or not they have been previously reported under another category using the HSE online reporting procedure within 10 days of being made aware of the situation.

(b) Specified injuries involving for example amputation, broken bones, fractured bones (excluding fingers and toes) or scalping requiring hospital treatment.Injuries that result in the injured person being away from work, or unable to do normal work, for more than seven consecutive days, not counting the day of the accident, but you do count days off (weekends/bank holidays).Injuries to non-employees (e.g. members of the public), who are taken to hospital for treatment.

4. Outline the factors to consider when making an assessment of first-aid provision in a workplace. (8)

The number of trained first-aid personnel and first aid facilities in relation to, for example, the size of the organisation, the distribution and composition of the workforce

The nature of the work being undertaken and the types of hazard and level or risk present

The proximity to emergency medical services The special needs of travelling Remote or lone workers The ability to provide continued cover over different shifts and for sickness, leave and

other absence. The type of people that might need treating (elderly, children those with religious beliefs) The presence of workplace trainees The history of accidents on site.


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1. Outline the duties placed on employees by:

(i) the Health and Safety at Work etc Act 1974. (4)

(ii) the Management of Health and Safety at Work Regulations 1999. (4)

(i) Section 7 requires employees must take reasonable care for themselves and others who might be affected by their acts or omissions and To co-operate with their employer or other person so far as is necessary to enable them to comply with their own statutory duties and requirementsSection 8 requires that no-one shall intentionally or recklessly interfere with or misuse anything provided in the interest of health, safety or welfare.

(ii) To use all work items in accordance with the training and instruction they have been givenIt also requires employees to inform their employer (or a specified employee with health and safety responsibilities of work situations that could present a serious and immediate danger, as well as any shortcomings that they might reasonably recognise in the existing arrangements for health and safety.

2. (a) Identify the general and specific duties of employers under section 2 of the Health and Safety at Work etc Act 1974. (6)

(b) State the penalties that may be imposed by the courts for a breach of that section. (2)

(a) General duty of the employer to ensure the health, safety and welfare of his employees so far as is reasonably practicable.Specific duties of employers to employees is to ensure so far as reasonably practicable: The provision of a safe workplace including safe plant and systems of work The safe handling, transportation, storage and use of articles and substances The provision of information, instruction, training and supervision for his

employees Safe access and egress to a safe place of work Safe working environment with adequate welfareThe preparation of a health and safety policy.Consultation with Trade Union safety representatives and setting up of a safety committee within 3 months if two or more TU Reps request one in writing.

(b) Since April 2015, the penalty that can be imposed by a Magistrates’ court (summary conviction) for a breach of this section is an unlimited fine and/or up to 12 months imprisonment and for those heard in the Crown court (indictment), an unlimited fine and/or up to 24 months imprisonment.


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3. With respect to section 6 of the Health and Safety at Work etc Act 1974, outline the general duties of designers, manufacturers and suppliers of articles and substances for use at work to ensure that they are safe and without risk to health. (8)

This section places an obligation on designers, manufacturers and suppliers of articles and substances for use at work to ensure so far as is reasonably practicable, that articles are designed and constructed to be safe and without risk to health at all times and when they are being set, cleaned, used and maintained and that substances are likewise safe and without risk to health when being used, handled, stored or transported.

Testing and examination must be carried out to ensure the required level of safety and freedom from risk

Employers, should be provided with information on the safe use, dismantling and disposal of the articles and substances and given revised information, should a subsequent serious risk become known.

4. (a) Outline the requirements of section 2(3) of the Health and Safety at Work etc Act 1974 in relation to an employer’s duty to prepare a health and safety policy. (2)

(b) Identify the purposes of EACH of the following sections of a health and safety policy document:

(i) ‘Statement of Intent’ (2)

(ii) ‘Organisation’ (2)

(iii) ‘Arrangements’ (2)

(a) An employer has a duty to prepare a written statement of his general policy with respect to health and safety together with the organisation and arrangements for carrying out the policyAn exception to the requirements for the policy to be in writing exists in cases where there are fewer than five employees.

(b) (i) Should demonstrate management’s commitment to health and safety and set goals and objectives for the organisation

(ii) to identify health and safety responsibilities and reporting lines within the company

(iii) to set out in detail the specific systems and procedures that aim to assist in the implementation of the general policy.


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1. Explain, using an example in EACH case, the meaning of the following terms

(i) ‘hazard; (2)

(ii) ‘risk’ (3)

(iii) ‘so far as is reasonably practicable’ (3)

(i) Something with the potential to cause harm and examples noise, electricity or chemical solvents.

(ii) The probability or likelihood of harm and the likely consequences in terms of the severity of such harm. If there is an electrical cable with exposed wires in the workplace then there is a risk that a person may be electrocuted.

(iii) Balancing risk against cost (including money, time, trouble, effort and inconvenience) and what this means in practical terms. A paper cut in an office is low risk and given the inconvenience of introducing gloves when people when handling paper. However, a paper cut in a laboratory that handles infectious diseases would be a high risk and using gloves would be essential.

2. (a) Identify the particular requirements of regulation 3 of the Management of Health and Safety at Work Regulations 1999 in relation to an employer’s duty to carry out risk assessments. (3)

(b) Outline the factors that should be considered when selecting individuals to assist in carrying out risk assessments in the workplace. (5)

(a) That assessments should be suitable and sufficientThat they should be reviewed if no longer valid or there have been significant changesThat the significant findings of an assessment should be recorded if there are 5 or more employees and that particular assessment were required in the case of young persons or fire.

(b) Individual’s past experience and training in hazard identification and in carrying out risk assessmentsTheir experience of the process or activity carried out in the workplace and either knowledge of the plant and equipment involvedTheir ability to understand and interpret regulations and standardsTheir communication skills and their attitude and commitment to the task.

3. Outline ways in which the Health and Safety Executive can influence the health and safety performance of an organisation (8) The provision of information (guidance notes, leaflets, Codes of Practice, statistics) HSE campaigns (reducing noise at work and campaigns aimed at particular

business sectors) Carrying out health and safety inspections with follow up visits to ensure compliance

with the advice given Carrying out accident investigations and investigations following receipt of

complaints Giving advice and assistance to employers on how to comply with their statutory

duties Taking enforcement action such as the issues of improvement or prohibition notices

and instigating criminal proceedings and adverse publicity such as the Public Register of Enforcement Notices displayed on the HSE website.


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4. With respect to undertaking general risk assessments on activities within the workplace:

(i) Outline the FIVE key stages of the risk assessment process, identifying the issues that would need to be considered at EACH stage (8)

(ii) Identify FOUR items of information from within and FOUR items of information from outside the organisation that may be useful when assessing the activities (8)

(iii) State the legal requirements for recording workplace risk assessments (4)

(i) 1. Consider the activities that are being undertaken at the workplace and to identify the hazards involved

2. Identification of those exposed to the hazards, noting particularly groups of employees such as young or disabled workers who might be especially at risk

3. An evaluation of the risks arising from the identified hazards, taking into account the likelihood and severity of the harm that could be caused, the frequency and duration of the exposure of the employees, the measures in existence to control the risks and the need and scope for a further reduction in risk by the introduction of additional controls

4. Recording the significant findings of the assessment in a written and retrievable form

5. A review and revision of the assessment at regular intervals or, more particularly, if there are developments in the processes or activities or changes in legislation which indicate that the original assessment may no longer be valid.

(ii) Internally Accident statistics and reports of accidents investigations Ill-health and health surveillance records Previous risk assessments and inspection reports Audits and training records Environmental monitoring Observation of work activities and health and safety committee minutes and

recommendationsExternal

Legislation / ACoP's Guidance notes and other HSE publications Information from manufacturers and suppliers including safety data sheets British and European standards Accident data from other organisations Advice from enforcement agencies and insurance companies.

(iii) The requirements contained in the Management of Health and Safety at Work Regulations 1999 that, when five or more people are employed, a record should be kept of the significant findings of the assessment together with information on any group of employees identified by the assessment as being especially at risk and additionally to the requirement to record specific assessments carried out for example for noise and asbestos.


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1. Outline the ways in which employers might motivate their employees to comply with health and safety procedures (8)

Improving employees’ knowledge of the consequences of not working safely Training and the provision of information Showing the commitment of the organisation to safety by providing resources and a

safe working environment Involving employees in health and safety decisions through consultation and team

meetings Recognising and rewarding achievements Leading by example

2. (a) Outline the benefits to an organisation of having a health and safety committee (4)

(b) Outline the reasons why a health and safety committee may prove to be ineffective in practice (8)

(c) Identify a range of methods that an employer can use to provide health and safety information directly to individual employees (8)

(a) It demonstrates management commitment and compliance with the legal requirement to consult with employeesIt facilitates consultation and communication with the workforce via employee representativesIt provides a means of recording discussions that have taken place on health and safety matters and it may help to foster a positive health and safety culture by encouraging employee involvement and ownership.

(b) A lack of management commitmentNo terms of reference for the committeeNo agenda and/or minutes of the meetings being producedAn uneven balance between management and employee representativesPoor chairmanshipNo access to the decision making processInfrequent meetingsInappropriate topics for discussionNo access to health and safety expertise.

(c) Notice boardsTeam briefingsTraining sessions including inductionTool box talksNews letters and the inclusion of messages with wage/pay slipsPosters, competitions and signsOne to one briefing such as in appraisal sessions.

3. In relation to the Safety Representatives and Safety Committees Regulations 1977, NGC1 Workbook May 19.doc

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outline

(i) the rights and functions of a trade union-appointed safety representative (6)

(ii) the facilities that an employer may need to provide to a safety representative (2)

(i) Investigating hazards and dangerous occurrences and examining the causes of accidentsInvestigating complaints from employeesCarrying out safety inspectionsMaking representations to the employerAttending safety committee meetingsRepresenting employees in consultations with the enforcing authority and receiving information from its inspectorsThe safety representative has access to relevant documents, the use of appropriate facilities, entitlement to inspect the workplace at set intervals and time off with pay for training.

(ii) Private roomTelephoneFax machinePhotocopierRelevant reference material.


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1. An organisation has decided to conduct an internal investigation of an accident in which an employee was injured following the collapse of storage racking.

(i) Outline FOUR benefits to the organisation of investigating the accident. (4)

(ii) Giving reasons in EACH case identify FOUR people who may be considered useful members of the investigation team. (8)

(iii) Having defined the team, outline the factors that should be considered when planning the investigation (8)

(i) To identify the immediate and root causes in order to prevent similar accidents occurring in the future.The identification of possible weaknesses in risk assessment processes and other aspects of safety management systems.Facilitating compliance with legal obligations (including the requirements of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 and social security legislation).Collecting evidence to defend a civil claim.Determining economic loss and demonstrating management commitment to occupational health and safety.

(ii) A Senior Manager to demonstrate management commitment and to ensure appropriate remedial action was takenThe line manager or supervisor who would be familiar with the working practices in the area where the accident occurredThe safety adviser to offer advice on the legal implications of the accident and the control measures currently in placeThe safety representative to represent the interests of the employeesA technical expert such as an engineer who would be able to provide information on technical issues raised during the investigation.

(iii) Outcome of the accidentThe type and amount of information already availableThe identification of witnessesThe preservation and current level of safety of the scene of the accidentThe equipment required for the investigation The history of previous similar incidentsThe roles and responsibilities of the team membersThe time scale for the investigationThe format of the subsequent report.

2. Replacement or repair of damaged plant and equipment is a cost that an organisation may face following a workplace accident. Identify EIGHT other possible costs to the organisation following a workplace accident. (8)

Costs associated with lost production and damage to materialsFirst-aid Investigation and remedial actionAdditional administration incurred and hiring of replacement staffIncreases in insurance premiums


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Criminal and civil actions (the imposition of fines, parts of compensation payments not covered by insurances and legal representation)Poor corporate imageDetrimental effect on employee morale resulting in reduced productivity.

3. (i) Explain why an organisation should have a system for the internal reporting of accidents (4)

(ii) Identify the reasons why employees may fail to report accidents at work. (4)

(i) The compilation of accident statistics and the identification of trends.To meet the requirement of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995So that an accident investigation may be carried out to prevent a recurrence or to identify weaknesses in the safety management systemFor use in civil claims or to satisfy insurance requirementsTo help in the identification and reduction of lossTo trigger the need to review health and safety risk assessments.

(ii) Ignorance of the reporting proceduresPeer pressurePossible retribution by managementTo preserve the company’s or department’s safety record (particularly when an incentive scheme is in operation)To avoid receiving first-aid or medical treatment (for whatever reason)Over-complicated reporting proceduresApathy caused by lack of obvious management response to earlier reported accidents.


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