NEBOSH IGC Exam Questions with Answers (New Pattern)

Element 1: Why We Should Manage Workplace Health and Safety

Question 1 (1.1): Define the terms (Health, Safety & Welfare)

(a) Health can be simply defined as the absence of physical and psychological disease.

(b) Safety is the absence of risk of serious personal injury or the state where the risk of harm has been eliminated or reduced to an acceptable level.

(c) Welfare means access to basic facilities such as toilets, washing stations, drinking water, changing rooms and places to prepare and/or eat food and drink.

Question 2 (1.1): Explain the three reasons why an organization should manage H&S?

The three reasons why an organization should manage health and safety are moral, financial and legal reasons.

Question 3 (1.1): Give three insured costs and three uninsured costs that might arise from a workplace accident.

Insured costs (any three from the following): damage to plant, buildings and equipment; compensation paid to workers; medical costs; legal costs arising from a claim for compensation.

Uninsured costs (any three from the following): production delays or downtime; loss of raw materials; accident investigation time; criminal fines; sick pay for injured workers; overtime to make up for lost production; hiring and training new employees; loss of customers, clients and contracts as a result of damage to business reputation.

Question 4 (1.2): Identify three of the legal duties that an employer has to comply with.

Any three from:

• To provide workplaces and work equipment, and use work methods, which are safe and pose no risk to health.

• To provide appropriate instructions and training.

• To provide necessary supervision.

• To put in place health and safety arrangements adapted to suit the size and nature of the undertaking.

• To provide any necessary personal protective clothing and equipment free of charge.

• To ensure that the hours of work do not adversely affect employees’ safety and health.

• To remove any activities causing extreme physical and mental fatigue.

• To stay up to date with knowledge in order to comply with the above.

Question 5 (1.2): Identify two of the legal duties that a workers has to comply with:

Any two from:

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

• Comply with safety instructions and procedures.

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

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

• Report any work-related accident or ill health. Answers to Study Questions 1

Question 6 (1.2): What are the consequences for an employer of non-compliance with health and safety legal responsibilities?

The consequences for an employer of non-compliance with health and safety responsibilities include:

• Enforcement action or prosecution through the criminal courts by the relevant authorities (enforcement agency).These criminal actions are normally brought by the state.

• Compensation claims from any injured/ill people, perhaps resulting in action through the civil courts. Civil action is normally started by the injured person themselves.

Question 7 (1.3): Which categories of people does an employer owe duty to?

An employer owes a duty to their own employees, other people (both workers and non-workers) who may be in their workplace, other workers who may be carrying out work on their behalf outside of the workplace, and other people who may be outside their workplace but affected by the work.

Question 8 (1.3): List the criteria that might be used to assess the suitability of a contractor to undertake work on behalf of a client.

The criteria to assess the suitability of a contractor may include:

• Their health and safety policy.

• Example risk assessments and method statements.

• The qualifications and training records of staff.

• Membership of professional organisations.

• Test and maintenance records for plant and equipment.

• References from other past/current clients.

• Accident history, such as RIDDOR-reportable accident rates.

• Enforcement action history.

• Proof of adequate resources.

• Insurance.

Question 9 (1.3): What are the responsibilities of client and contractor where a contractor is working at client’s workplace?

In general terms, when a contractor is working in a client’s workplace, the client would be responsible for the workplace and environment, and the contractor for the job that they are carrying out. Both parties would be responsible for the health and safety of their own workers, but they would also be responsible for the health and safety of other people who might be affected by their work. So, the contractor would be responsible for the safety of the client’s employees if they were carrying out work that might injure the client’s employees; and the client might be partly responsible for the safety of members of the public if they might be injured by the work that the contractors were carrying out. In this way, the duties and responsibilities are shared by both the client and the contractor.

Question (Exam Skill): What are some of the possible costs to an organisation following an accident in the workplace?

There are many costs of accidents, which can be divided into direct and indirect costs.

Direct costs may include:

• First-aid treatment given to the victim.

• Sick pay if they are off work.

• Overtime costs incurred to cover their absence.

• Repairs to damaged equipment.

• Lost or damaged product arising from the accident.

• Lost production time.

• In the event of legal action there may also be fines or compensation payments.

Indirect costs may include:

• The time taken to investigate the accident.

• The costs of additional control measures to prevent recurrence and to comply with enforcement notices.

• Costs associated with the training and recruitment of additional employees.

• There may be a loss of morale in the workforce, which could impact productivity.

• Damage to the organisation’s public image or customer relationships.

Element 2: Health and Safety Management Systems and Policy

Question 1 (2.1): What are the elements of the OHSMS outlined in ISO 45001 OHSMS?

The elements of ISO 45001 are:

• Context of the organisation (framework).

• Leadership and worker participation (framework).

• Planning (Plan).

• Support (Do).

• Operation (Do).

• Performance evaluation (Check).

• Improvement (Act).

Question 2 (2.1): What is the role of ‘evaluation’ in the ILO-2001 OHSMS?

The role of ‘evaluation’ in the ILO OSH-2001 OHSMS is to ensure that the organisational arrangements, health and safety standards and operational systems and measures are working effectively and, where they are not, to provide the information required to revise them.

Question 3 (2.2): What might the health and safety policy of two organizations, both undertaking similar work, be different?

The health and safety policy of two organisations, both undertaking similar work, might be different because the policy is a reflection of the particular circumstances of each organisation; so any variations in size, nature and organisation of operations, etc. will mean that the health and safety policies will also vary. It may also be the case that senior managers have very different visions for the health and safety performance of their organisations.

Question 4 (2.2): What are the three key parts of health and safety policy?

The three key parts of a health and safety policy are the General Statement of Intent (or Statement of General Policy), the Organisation section (or Organisational Roles and Responsibilities), and the Arrangements section.

Question 5 (2.2): Who should sign the Policy Statement?

The person at the very top of the organisation, such as the managing director or chief executive officer, should sign the policy statement, indicating the organisation’s commitment at the highest level.

Question 6 (2.2): What health and safety responsibilities do all workers have?

All workers have certain health and safety responsibilities; they must act responsibly and safely at all times, and do everything they can to prevent injury to themselves and to others (such as fellow workers, visitors and members of the public) and co-operate with their employer.

Question 7 (2.2): What does a safety organization chart show:

A safety organisation chart shows the hierarchy of roles and responsibilities for health and safety within the organisation and the lines of accountability between them. It should show the position of health and safety practitioners and other competent people who advise the organisation. It should also show any committees or staff forums with a health and safety remit.

Question 8 (2.2): What circumstance might require a review policy?

The circumstances that might give rise to reviews, either of general policy or specific aspects of it, include:

• Changes in the structure of the organisation, and/or changes in key personnel.

• A change in buildings, workplace or worksite.

• When work arrangements change, or new processes are introduced.

• When indicated by a safety audit or a risk assessment.

• Following enforcement action or as the result of the findings from accident investigations.

• Following a change in legislation.

• If consultation with employees or their representatives highlights deficiencies.

• If requested by a third party.

Question (Exam Skills): What health and safety might usefully be included in the Statement of Intent section of a health and safety policy?

An employer may identify a range of targets in the Statement of Intent. These could include:

• The organisation’s compliance with the law.

• The provision of a safe working environment with safe equipment and procedures.

• The development of risk assessments for business activities.

• Targets to reduce the accident rate in the organisation.

• A target to carry out active monitoring to reduce workplace hazards.

Suggested Answers to Study Questions 3

Question (Exam Skills): Explain the purpose of the Organization section of H&S Policy?

The purpose of the Organisation section of the policy is to establish the roles and responsibilities for health and safety at all levels within the business, from director down to shop-floor and office employees. The Organisation section will also include specialist safety roles, such as fire wardens, first aiders and safety advisors. The Organisation section identifies who is going to deliver the objectives in the health and safety policy.

Question (Exam Skills): Explain the purpose of the Arrangement section of H&S Policy?

The purpose of the Arrangements section of the policy is to establish how the safety policy is to be achieved. This is done by producing procedures which detail how hazards in the organisation are to be identified through risk assessment and controlled (e.g. fire, first aid or spill response). In this way, everyone can see how the health and safety management activities are to be carried out.

Element 3: Managing Risk – Understanding People and Processes

Question 1 (3.1): Define health and safety culture.

Your definition should cover the main points given in the element:

• safety culture is the shared attitudes, values, beliefs and behaviours relating to health and safety; or

• safety culture is the way that all the people within an organisation think and feel about health and safety and how this translates into behaviour. It can be positive or negative.

Question 2 (3.1): How do a worker’s peers exert influence over their behavior?

A worker’s peers exert influence over their behaviour through peer group pressure. This is the process by which social groups form in the workplace, group behaviour is established (‘norms’), and then social pressure is exerted to force individuals to comply with the group behaviour. There will usually be one or more group leaders who influence the group to a very high degree.

Question 3 (3.2): What are the main benefits and limitation of both written and verbal forms of communication?

Benefits

Limitations

Written communication

• Permanent record.

• Can be referred back to.

• Can be written carefully, avoiding jargon.

• Widely distributed with ease.

• Indirect.

• Impersonal.

• Immediate feedback not available.

• Language/literacy issues may exist.

Verbal communication

• Personal and direct.

• Immediate feedback.

• Allows exchange of views.

• Language barriers.

• May not be heard.

• Information may be missed.

• No written record.

Question 4 (3.2): Give an example, state why graphic symbol (such as pictogram) are used to communicate safety information?

Graphic symbols (such as the pictogram showing a person moving through a fire escape door and an arrow to show the direction of travel found on an emergency escape route sign) are used to communicate simple but essential health and safety information to people. They are used because they do not require the person to read text and they therefore avoid literacy or language barriers.

Question 5 (3.2): How can workers be involved in the improvement of workplace health and safety?

Workers can be involved in the improvement of workplace health and safety by:

• Encouraging their participation in safety committees and other safety meetings.

• Asking for their suggestions for improvements (perhaps using a suggestions box or similar scheme).

• Involving them in the selection of PPE and other equipment.

• Providing them with hazard-spotting and defect-reporting systems.

• Encouraging their participation in safety tours and inspections, audits, risk assessments, accident investigations and the development of procedures and safe systems of work.

• Involving them in the presentation of safety training, and the supervision/mentoring of new employees, particularly young persons.

• Including them in the design or selection of safety posters.

Question 6 (3.2): What should be the first priority in induction training?

The first priority in induction training should be to set out what to do in the event of a fire or other major incidents, and the general instructions and procedures to be followed for safe movement around the workplace. These are the priorities. The induction training can then move on to other topics.

Question 7 (3.2): Apart from at induction, when should training be provided?

There are various times when training should be provided, including:

• When people change their job, where new rules and procedures need to be followed.

• When there are significant changes to work equipment, substances or activities.

• Refresher training.

• After an accident, or near miss.

• When the law or standards change.

Question 8 (3.3): Identify three factors that impact on worker’s health and safety-related behavior.

The organisational factors, the job factors and the individual factors. Collectively these are the three ‘human factors’ that influence safety-related behaviour.

Question 9 (3.3): Outline four key job factors that can impact on safety-related behavior.

The key job factors that can impact on safety-related behaviour include (any four from):

• The task being done and how well or badly it has been designed.

• Workload such as number of tasks and deadlines.

• The environment in which work takes place and how comfortable or uncomfortable this is.

• The design and functionality of displays and controls that a worker has to use in order to do the job.

• The suitability of any procedures that the worker has been provided with.

Question 10 (3.3): Why might workers not correctly perceive risk at work?

Workers might not perceive risk at work because of: the influence of illness; personal inexperience; poor quality education and training; drugs and alcohol; fatigue; stress; interference from PPE that has to be worn; or interference form the workplace environment (such as high noise levels).

Question 11 (3.4): Why is the distinction between hazards and risks so important to health and safety management?

The distinction is important because hazards will always exist in the workplace and, usually, it is not possible to eliminate them. Risk can be controlled and reduced. This is a central principle of health and safety management.

Answers to Study Questions 3

Question 12 (3.4): What is the purpose of risk assessment?

The purpose of risk assessment is to eliminate hazards, or reduce risk to an acceptable level so as to prevent personal injury and ill health, to achieve legal compliance, and to reduce the costs associated with losses.

Question 13 (3.4): What techniques are used for identifying hazard?

The techniques used for identifying hazards include task analysis, examination of legislative requirements and associated guidance, examination of manufacturers’ information and analysis of incident data.

Question 14 (3.4): Identify two internal and two external sources of information about health and safety.

Internal data sources include: accident records; medical records; absence records; risk assessments; maintenance reports; joint inspections with safety representatives; audits, surveys, sampling and tours; safety committee meeting minutes.

External data sources include: national legislation (e.g. regulations); safety data sheets from manufacturers and suppliers; enforcing authority publications such as Codes of Practice and Guidance Notes; manufacturers’/suppliers’ maintenance manuals; national/international standards (BS, BS-EN and ISO standards); information from local safety groups; information from trade associations; information from journals and magazines.

Question 15 (3.4): What are the five categories of health hazard:

The five categories of health hazard are: physical, chemical, biological, ergonomic and psychological.

Question 16 (3.4): What are five steps involved in risk assessment?

The five steps involved in risk assessment are:

1. Identify the hazards.

2. Decide who might be harmed and how.

3. Evaluate the risks and decide on precautions.

4. Record the findings and implement them.

5. Review the assessment and update, if necessary.

Question 17 (3.4): Apart from office workers, what particular people or groups might require special consideration during a risk assessment in an office environment?

Apart from office workers, people or groups who might require special consideration during a risk assessment in an office environment include maintenance staff, cleaners, contractors, visitors, young workers, lone workers, new and expectant mothers, and disabled staff.

Question 18 (3.4): What two factors are used to estimate risk?

The two factors used to estimate risk level are the likelihood of harm occurring and the severity of the likely harm.

Question 19 (3.4): What is residual risk?

Residual risk is the level of risk remaining after the application of safety precautions.

Suggested Answers to Study Questions 3

Question 20 (3.4): What is general hierarchy of control?

The general hierarchy of control is:

• Elimination.

• Substitution.

• Engineering controls.

• Administrative controls.

• Personal protective equipment.

Question 21 (3.4): What conditions might trigger a risk assessment review?

Things that might trigger the review of a risk assessment include: changes in legislation; a significant change in work practices and processes; installation of new machinery and equipment; new information becoming available on the hazards/risks; recurring accidents or patterns of ill health; enforcement action; results of monitoring/auditing; or employment of a category of personnel (e.g. disabled) not previously taken into account.

Question 22 (3.4): What type of sign is represented by the following pictograms?

The type of sign represented by each pictogram:

(a) Mandatory action – must put litter in bins.

(b) Prohibition – not drinking water.

(c) Safe condition – drinking water.

(d) Warning – radiation hazard.

Question 23 (3.4): When should PPE be used?

Personal protective equipment should be used when it has not been possible to eliminate the hazard or reduce risk to acceptable levels by the use of engineering controls, working methods or administrative controls. PPE is a last resort.

Question 24 (3.5): Identify five management controls that should be considered for the control of risks created by temporary work.

Five management controls that should be considered for the control of risks created by temporary works are:

• Risk assessment.

• Communication and co-operation.

• Appointment of competent persons.

• Emergency arrangements.

• Welfare provision.

Question 25 (3.6): Define the phrase ‘safe system of work’.

A safe system of work is a formal procedure that results from a systematic examination of the tasks of a work process, in order to identify all the hazards and define methods of working that eliminate those hazards, or minimise the risks associated with them.

10 Suggested Answers to Study Questions 3

Question 26 (3.6): How does involving workers in the development of SSWs contribute to strengthening the health and safety culture?

Involving workers in the development of safe systems of work contributes to strengthening the safety culture because it enables them to gain a deeper understanding of hazards and risks, and of the way in which safe systems of work will minimise those risks. It also encourages ownership of key controls by the employees involved in their development. It is an example of worker engagement which is a fundamental building block of a positive health and safety culture.

Question 27 (3.6): What is difference between technical, procedural and behavioral controls?

Technical controls are those that are applied directly to the hazard itself in order to minimise the risk. Procedural controls define the way in which work should be carried out in relation to the hazard. Behavioural controls define how the individual operator, or groups of workers, must act in relation to the hazard.

Question 28 (3.6): Why do instruction, training and supervision form a part of safe systems?

Instruction, training and supervision form a part of safe systems because only people who have been given appropriate training and instruction will understand the SSW and consequently should be allowed to undertake the work. Supervision is necessary to ensure that staff follow their instructions and training and correctly apply the SSW.

Question 29 (3.7): What is a permit to work?

Permits to work are formal documents specifying the work to be done, the hazards, and the precautions to be taken. Work can only start when safe procedures have been defined and put into place. The permit provides a clear written record, signed by a responsible manager or supervisor, that all foreseeable hazards have been considered and all the necessary actions have been taken. It should be in the possession of the person in charge of the work before that work can begin.

Question 30 (3.7): What are four key sections of typical permit?

The four key sections of a typical permit are:

• Issue.

• Receipt.

• Clearance/return to service.

• Cancellation.

Question 31 (3.8): What is the main objective of an emergency procedure?

The main objective of an emergency procedure is to ensure the safety and health of staff and others who might be affected by the emergency. In some instances, minimising other losses associated with the emergency will also be a priority. Preventing an escalation of the emergency may also be important.

Question 32 (3.8): Name three typical emergencies that may require the development of emergency procedure.

Typical emergencies that may require the development of emergency procedures include fire or explosion; bomb threat; spillage of a hazardous substance; release of a toxic gas; outbreak of disease; severe weather or flooding; multiple casualty accident; or a terrorist/security incident.

11uggested Answers to Study Questions 3

Question 33 (3.8): What factors might need to be considered when determining the first-aid facilities for a workplace?

The factors that might need to be considered when determining the first-aid facilities for a workplace are:

• The physical size of the organisation.

• Number of employees.

• Distribution of the workforce (e.g. number of buildings on a site, number of floors, etc.).

• The type of business and what hazards are inherent in it (an office is different from a foundry).

• Remoteness of the site from emergency medical services.

• Provision for non-employees, e.g. shoppers, schoolchildren.

• Needs of specific groups of employees (e.g. trainees, young workers, disabled persons).

• Cover for first aiders during annual leave.

• Shift patterns.

• Peripatetic employees.

Question (Exam Skills): Explain the meaning of the term ‘perception’?

Perception can be defined as the way people interpret information they take in through their senses (e.g. hearing and sight). Different people will perceive things in different ways.

Question (Exam Skills): Explain how workers’ perceptions of hazards in the workplace might be improved?

To improve hazard perception, a number of approaches can be used. Firstly, the hazards need to be apparent to the workers. This can be achieved by making them easy to identify (e.g. by using signs to warn of hot surfaces and painting trip hazards yellow). Hazards can also be made more obvious to workers through the use of training and awareness-raising sessions (e.g. to introduce the idea that noise can be harmful to hearing). Hazards may also not be noticed as the senses are overloaded with other information (e.g. a noisy workplace may prevent a worker hearing an approaching vehicle, so background noise levels may be reduced to address this). Finally, there may be issues affecting the way in which information is absorbed by different people – those with hearing or sight impairment may require additional steps to be taken to highlight hazards (e.g. tactile flooring near to crossing points, or vibrating pagers to warn of the fire alarm). PPE can also impair the senses – so careful selection of PPE that does not impair the senses will help

Question (Exam Skills): Explain the meaning of the term ‘risk’ and give a workplace example?

Risk is determined by considering the likelihood of harm occurring and the potential severity of harm, damage or loss. For example, if working with faulty, mains-powered electrical equipment, there is high probability that an electric shock could be received, and the potential result is death.

Question (Exam Skills): What are key stages of risk assessment?

There are five steps to risk assessment:

1. Identify the hazards.

2. Identify who could be harmed and how (including workers, visitors, contractors and vulnerable groups such as young persons, new and expectant mothers, and the disabled).

3. Evaluate the risk (considering likelihood and severity of harm) and decide on precautions.

4. Record the significant findings and implement them.

5. Review and update as necessary.

Element 4: Health and Safety Monitoring and Measuring

Question 1 (4.1): Define reactive and active monitoring.

Reactive monitoring is where accidents, near misses and other unwanted events are used to identify trends and patterns in accident history. Active monitoring is where existing conditions are checked to identify and correct substandard matters before any sort of incident occurs.

Question 2 (4.1): What do we mean by systematic active monitoring?

Systematic active monitoring involves the planned, regular examination of conditions in the workplace as a matter of routine.

Question 3 (4.1): What type of information that might be used in reactive monitoring?

Lots of types of information can be used for reactive monitoring such as numbers of:

• Accidents.

• Dangerous occurrences.

• Near misses.

• Cases of ill health.

• Complaints from the workforce.

• Formal enforcement actions taken against the organisation.

• Civil claims for compensation against the organisation.

• Cost of accidents, e.g. damage repairs.

Question 4 (4.1): What is the purpose of workplace inspection?

The purpose of workplace inspections is to ensure that the control measures are operating effectively and that they are appropriate to current conditions in the workplace.

Question 5 (4.1): What is the difference between a safety inspection and safety tour?

Safety inspections are routine examinations of workplace conditions carried out by a competent person(s) (e.g. the weekly inspection of a workshop by the workshop supervisor). Safety tours are high-profile walk-abouts carried out by a team of people, including senior managers, with the intention of interacting with workers and discussing their health and safety concerns and issues.

Question 6 (4.1): What role does senior management have in workplace inspection?

Senior management has responsibility for ensuring that effective workplace inspection regimes are in place and are operated effectively. This will include receiving reports and overseeing/agreeing action. In addition, the visible involvement of senior managers in safety tours is to be encouraged for the commitment it demonstrates towards safety and the effect on the promotion of a positive health and safety culture.

Question 7 (4.1): Why are checklists used in inspection?

Checklists help ensure a consistent, systematic and comprehensive approach to checking all the safety elements to be covered during an inspection.

Suggested Answers to Study Questions 4

Question 8 (4.2): What is the main purpose of an accident investigation?

The main purpose of an accident investigation is to find the cause, with the intention of preventing a recurrence.

Question 9 (4.2): What are the four steps of investigation process?

Four steps of the investigation process:

1. Gather factual information about the event.

2. Analyse that information and draw conclusions about the immediate and root causes.

3. Identify suitable control measures.

4. Plan the remedial actions.

Question 10 (4.2): identify the categories of staff who might be considered useful members of an internal accident investigation team

The categories of staff who may be useful in an internal investigation might include the immediate line manager (of the injured person, or of the area where the accident took place), a member of senior management, a worker representative, a safety officer/practitioner, an engineer, and technical expert, if relevant.

Question 11 (4.2): What type of record might be consulted during and accident investigation?

The types of records to be consulted during an accident investigation might include:

• Inspection and maintenance records.

• Risk assessments.

• Safe systems of work, or permits to work.

• Environmental measurements.

• Medical records.

• General and specific safety reports and analyses that relate to the circumstances.

• Training and other personnel records.

• Minutes of safety committee meetings.

Question 12 (4.2): What are the two categories of immediate cause of accidents/incidents?

The two categories of immediate cause of accidents/incidents are unsafe acts and unsafe conditions.

Question 13 (4.2): An employee has been hit by a reversing vehicle in loading bay. What are the possible immediate causes and root causes?

An employee has been hit by a reversing vehicle in a loading bay:ses

Immediate Cause

Root Cause

• Mechanical failure (faulty brakes).

• Driver failed to see pedestrian.

• Pedestrian not wearing high-visibility jacket.

• Driver’s vision restricted by goods.

• Human error on part of driver or pedestrian.

• Inadequate maintenance procedures.

• Inadequate lighting or driving in poor weather conditions.

• No rule about high-visibility jackets, or not enforced.

• Lack of housekeeping arrangements.

• Lack of banksman/signaller.

• Lack of training and awareness.

Answers to Study Questions 4

Question 14 (4.2): Who is usually initially responsible for reporting accidents and safety-related incidents?

The person usually initially responsible for reporting accidents and safety-related incidents is the worker involved or, if they are not able to, a colleague. In some circumstances it might be the first aider who gave treatment or the immediate line manager. Company policy will dictate which option is best.

Question 15 (4.2): What actions should be taken following a serious injury at work?

Following a serious injury at work, the following actions should be taken:

• Make the area safe (in some circumstances, this might need to be done first so there is no risk to those giving assistance).

• Ensure casualty is treated with first aid, and then further medical treatment if necessary.

• Isolate the scene so evidence is not disturbed.

• Inform the victim’s next of kin.

• Notify enforcing authority, if relevant.

• Arrange any necessary counselling or support.

• Set up investigation team:

– Collect evidence, including photographs, measurements, etc.

– Take statements from witnesses.

– Determine immediate and root causes.

– Report findings, making recommendations to prevent recurrence.

• Inform safety representatives, and issue internal information.

• Advise insurers.

• Implement recommendations, revise work procedures and risk assessments.

• Monitor situation and review as necessary.

Question 16 (4.3): Define term ‘health and safety auditing’

Health and safety auditing is the structured process of collecting independent information on the efficiency, effectiveness and reliability of the total health and safety management system and drawing up plans for any corrective action necessary. Or, alternatively, the systematic, objective, critical evaluation of an organisation's health and safety management system.

Suggested Answers to Study Questions 4

Question 17 (4.3): What are differences between health and safety audits and workplace inspections?

Differences Between Audits and Workplace Inspections

Audit

Workplace Inspection

• Has the aim of assessing the health and safety management system of an organisation.

• A long process involving the examination of the entire management system.

• Based primarily on review of documentary

evidence, backed up by some observations and interviews of personnel at all levels.

• Long, comprehensive report that records areas of concern and weaknesses in the management system.

• Detailed planning required; requires considerable resources.

• Typically done annually.

• Aims to improve systems at a high level, with the ultimate effect of improvements cascading down to operating level. Is a strategic tool, addressing long term progress.

• Has the aim of assessing the use and effectiveness of control measures.

• A relatively short process looking at practices in part of the workplace.

• Primarily based on observations, perhaps involving very limited scrutiny of paperwork and interview of operators.

• Short report identifying key corrective actions

required.

• Only limited planning, and main resource required is the inspectors’ time.

• Usually done on a daily, weekly, monthly, or

quarterly frequency.

• Focuses on activities and equipment at operational level, though remedial actions may address system

faults.

Question 18 (4.4): Performance Review is concerned with ensuring that incident investigation are properly conducted. Ture or False.

True, performance review is concerned with ensuring that incident investigations are properly concluded – but it is concerned with more than just this one aspect of reactive monitoring. It encompasses the review of all forms of health and safety performance and, where there are deficiencies, taking corrective action.

Question 19 (4.4): What is the purpose of reviewing health and safety performance?

The purpose of reviewing health and safety performance is to ensure that the organisational arrangements, health and safety standards and operational systems and measures are working effectively and, where they are not, to identify the corrective actions needed.

Question 20 (4.4): Who should take part in reviews of OHSMS?

Senior management should review the operation of the occupational health and safety management system to ensure that it is being fully implemented and that it remains suitable for achieving the organisation’s policy and objectives. Reviews should be instigated by senior managers but also involve managers, supervisors and occupational health and safety specialists. It may also be appropriate to involve safety representatives or representatives of employee workplace safety in the review process, particularly if the health and safety committee is the forum where part of the review takes place.

Question 21 (4.4): How often should reviews of the OHSMS takes place?

The frequency at which reviews should take place will depend on various factors such as the level of risk inherent in the workplace and the rate of change taking place there. Typical review frequencies for a medium risk, slowly changing workplace might be:

• Monthly at a local level – involving local management and supervisors.

• Three-monthly at a divisional/departmental level – involving middle management levels.

• Annually across sites or the organisation as a whole – at board level.

Question 22 (4.4): What typical outputs from the management review need to be documented and maintained as a record of the review process and as evidence of its effectiveness?

Typical outputs from the management review that need to be documented and maintained as a record of the review process and as evidence of its effectiveness include:

• Minutes of the review.

• Documented revisions to the health and safety policy and health and safety objectives.

• Specific corrective actions for individual managers with target dates for completion.

• Specific improvement actions with assigned responsibilities and target dates for completion.

• Date for review of corrective action.

• Areas of emphasis to be reflected in the planning of future management system audits.

Question (Exam Skills): What are four active (proactive) and four reactive means by which an organization can monitor its health and safety performance?

(a) Four active monitoring techniques could be:

– Safety tours carried out by managers to monitor safety standards and identify hazards.

– Safety inspections carried out by a safety representative.

– Survey to monitor noise levels by a specialist.

– Safety sampling exercise to check compliance with rules on the use of PPE.

(b) Four reactive monitoring techniques could be:

– Collecting accident and incident data and reports, and analysing trends.

– Analysing absence and sickness data.

– Reviewing complaints from employees.

– Calculating the cost of claims brought due to injuries, and analysing trends.

Question (Exam Skills): Give the meaning of the term ‘health and safety audit’?

A structured, systematic, critical review of independent information collected on the effectiveness and reliability of the organisation’s health and safety management system and suggested corrective actions.

Question (Exam Skills): List key areas that may be covered within a health and safety policy?

The key areas to be covered by a health and safety audit would be the organisation’s Health and Safety Policy, ensuring that one existed and that it was communicated to employees. The audit should check that roles and responsibilities for health and safety have been allocated to individuals and that they understand their roles. The audit can review risk assessments to ensure they are suitable and sufficient, they are current and actions identified on them completed. The audit should ensure that specific hazards such as manual handling, work at height or the control of substances hazardous to health are appropriately managed. Auditors can ensure that fire safety is properly managed with emergency procedures in place. Arrangements for first aid can be audited to ensure provision is adequate, as well as auditing arrangements for the control of contractors. Auditors may cover accident reporting both internally within the organisation and externally reporting to the authorities. Auditors should review the arrangements for consultation within the organisation and ensure that consultation does take place. Auditors can consult maintenance records of machinery to establish that guarding to machines is maintained, as well as ensuring those machines with a statutory requirement for maintenance are maintained. Auditors should also provide recommendations for improving the existing system.

Question (Exam Skills): Explain how the findings of health and safety audit can be used to improve health and safety performance?

The findings from a health and safety audit may be used to distinguish areas of compliance with legislation from those areas that do not meet the necessary standard to comply. The audit should also identify the reasons why non-compliance exists and the nature of the non-compliance. The audit may also have distinguished areas of strength from areas of weakness in the management of health and safety. This may facilitate benchmarking by management with other organisations to ensure they are managing health and safety responsibilities in line with industry standards, and to assist management to direct often scarce resources where they are most required. The findings from the audit can be communicated to staff to ensure that standards are maintained or improved and to indicate that management is motivated to be proactive in the provision of a safe place of work, keeping health and safety on the business agenda. An audit enables management to follow a programme of continual improvement by focusing on eliminating deficiencies.

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