Unit IA – International Management

of Health and Safety

International Diploma in
Occupational Safety and Health

Course Exercise & Assignment

 Table of Contents

UNIT IA1 – PRINCIPLES OF HEALTH & SAFETY MANAGEMENT ------------------------------------------------- 5

Function of Health & Safety Practitioner --------------------------------------------------------------------------------------- 5
Reasons for Managing Health & Safety ----------------------------------------------------------------------------------------- 5
Management System -------------------------------------------------------------------------------------------------------------------- 6
Policy Section - Organization & Arrangement ------------------------------------------------------------------------------- 7
Ohsms Policy Section Requirements -------------------------------------------------------------------------------------------- 8
Turnbull Report – True Costs of Accidents ----------------------------------------------------------------------------------- 8
Damages, Compensation & Liability --------------------------------------------------------------------------------------------- 9
H&S Practitioner – Evaluate & Develop --------------------------------------------------------------------------------------- 10
Risk Management ----------------------------------------------------------------------------------------------------------------------- 10
Changing of Management System ---------------------------------------------------------------------------------------------- 11
Societal Factors-------------------------------------------------------------------------------------------------------------------------- 11
UNIT IA2 – LOSS CAUSATION AND INCIDENT INVESTIGATION ------------------------------------------------ 13
Accident Rate Calculation and Differnce Between two Companies --------------------------------------------- 13
Accident Investigation – Injured Visitor at Workplace ----------------------------------------------------------------- 14
Investigation Report – Adequacy & Key Stages of the Report ----------------------------------------------------- 16
Train Collision Accident – Causes of Driver’s Perception & Corrective Actions -------------------------- 17
Accident Notification & Accident & Incidence Rates ------------------------------------------------------------------- 18
Difference of Accident Rate & Incidence Frequency Rate – Report Presentation ------------------------ 19
Interviewing of Witnesses----------------------------------------------------------------------------------------------------------- 20
Difference of Accident Rate of Two Companies – Same Size ------------------------------------------------------ 20
Accident Interview Requirements ----------------------------------------------------------------------------------------------- 21
Loss & Near Miss Investigations – Documentation & Involvement of Staff---------------------------------- 22
Accident – Safety Perfromance--------------------------------------------------------------------------------------------------- 23
Active/Latent Failures ----------------------------------------------------------------------------------------------------------------- 23
UNIT IA3 – MEASURING HEALTH AND SAFETY PERFORMANCE ---------------------------------------------- 24
Failure of Campaign / Proactive Monitoring Techniques ------------------------------------------------------------- 24
Auditing Programme – Organizational & Planning Issues ----------------------------------------------------------- 25
Reviewing Health and Safety Performance --------------------------------------------------------------------------------- 26
Failure Of Campaign / Proactive Monitoring Techniques ------------------------------------------------------------ 27
Safety Tour --------------------------------------------------------------------------------------------------------------------------------- 28
Monitoring System --------------------------------------------------------------------------------------------------------------------- 28
Monitoring and Measurement Techniques ---------------------------------------------------------------------------------- 29
Health and Safety Performance Review -------------------------------------------------------------------------------------- 29
Planning an Inspection Program------------------------------------------------------------------------------------------------- 30

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Measuring Health and Safety Perfromance Using Accident Rate ------------------------------------------------ 30
UNIT IA4 – IDENTIFYING HAZARDS, ASSESSING AND EVALUATING RISKS ------------------------------ 31
ETA Event Tree Analysis ------------------------------------------------------------------------------------------------------------ 31
FTA – Fault Tree Analysis ----------------------------------------------------------------------------------------------------------- 35
Failure Tracing Methologies - Calculations --------------------------------------------------------------------------------- 38
HAZOP – Hazard Operability Studies/Risk Assessment/External Sources of Information ----------- 40
Risk Assessment / Safe System of Work ------------------------------------------------------------------------------------ 42
Internal & External Sources of Information --------------------------------------------------------------------------------- 43
FMEA – Failure Mode & Effect Analyis ---------------------------------------------------------------------------------------- 43
Bow Tie Analysis (Barrier Model – Hazard Realization) --------------------------------------------------------------- 44
JSA – Job Safety Analysis ---------------------------------------------------------------------------------------------------------- 45
Hazard Identification Techniques / Risk Assessment ------------------------------------------------------------------ 45
UNIT IA5 – RISK CONTROL -------------------------------------------------------------------------------------------------- 46
Permit to Work System --------------------------------------------------------------------------------------------------------------- 46
Emegency Planning -------------------------------------------------------------------------------------------------------------------- 47
Permit To Work / Cost Benefit Analysis -------------------------------------------------------------------------------------- 47
Emergency Planning & Procedures -------------------------------------------------------------------------------------------- 48
Safe System of Work / Permit to Work ---------------------------------------------------------------------------------------- 49
Selecting Risk Controls / Safe System of Work / Permit to Work ------------------------------------------------- 50
UNIT IA6 – ORGANIZATIONAL FACTORS ------------------------------------------------------------------------------ 52
Formal and Informal Organization/Orgnaization Model/Safety Culture ---------------------------------------- 52
Control of Contractor------------------------------------------------------------------------------------------------------------------ 53
Safety Culture/Role of an Organization --------------------------------------------------------------------------------------- 54
Selection and Control of Contractor ------------------------------------------------------------------------------------------- 55
External Information ------------------------------------------------------------------------------------------------------------------- 56
Consultation/Formal And Informal ---------------------------------------------------------------------------------------------- 56
Safety Reprsentative – Strenght and Weaknesses ---------------------------------------------------------------------- 57
Safety Culture/Organizational Issues - Barriers -------------------------------------------------------------------------- 57
Organization as A System/Risk Control -------------------------------------------------------------------------------------- 58
Consultation of Workers - Recommendations----------------------------------------------------------------------------- 58
Consultation Programme Development – Formal & Informal------------------------------------------------------- 59
Effective Consultation ---------------------------------------------------------------------------------------------------------------- 60
Safety Culture and Climate --------------------------------------------------------------------------------------------------------- 60
UNIT IA7 – HUMAN FACTORS ---------------------------------------------------------------------------------------------- 62
Human Error – Human Reliability ------------------------------------------------------------------------------------------------ 62
Component Failure --------------------------------------------------------------------------------------------------------------------- 63
Reducing Human Error – Design Features of Control & Display ------------------------------------------------- 63
Human Error – Skill Based, Rule Based & Knowledge Based Behaviour ------------------------------------- 64

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Human Reliability ----------------------------------------------------------------------------------------------------------------------- 65
Attitude/Meddia Influence ----------------------------------------------------------------------------------------------------------- 66
Human Failure ---------------------------------------------------------------------------------------------------------------------------- 66
Poor Safety Culture/ Violation----------------------------------------------------------------------------------------------------- 67
Influencing Behaviour ---------------------------------------------------------------------------------------------------------------- 67
Motivation ---------------------------------------------------------------------------------------------------------------------------------- 68
Perception ---------------------------------------------------------------------------------------------------------------------------------- 68
Human Errors – Job Factors ------------------------------------------------------------------------------------------------------- 69
UNIT IA8 – REGULATING HEALTH AND SAFETY -------------------------------------------------------------------- 70
ILO / Self Regulation / Role of Legislation ----------------------------------------------------------------------------------- 70
Express Terms / Influencial Parties / Non-Conformity to Standards -------------------------------------------- 71
External Influences - ILO ------------------------------------------------------------------------------------------------------------ 73
Role & Limitation of Legislation -------------------------------------------------------------------------------------------------- 74
Precriptive and Goal-Setting Legislation------------------------------------------------------------------------------------- 74
Express Terms & Implied Terms/Contract Terms ------------------------------------------------------------------------ 75
Self Regulation --------------------------------------------------------------------------------------------------------------------------- 75
Ratified Internation Conventions/Recommendations ------------------------------------------------------------------ 76

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UNIT IA1 – PRINCIPLES OF HEALTH & SAFETY MANAGEMENT

Section A – 20 Marks Question

FUNCTION OF HEALTH & SAFETY PRACTITIONER
1. Jan. 2008 - Q10 – 20, July 2010 – Q7 – 20; July 2011 – Q6 - 10
Describe using appropriate examples, the possible function of health and safety practitioner within a
medium-sized organization. (20 marks)

Key functions of the role of health and safety practitioner in a medium-sized organization include:

1. Helping to develop, implement and revise health and safety policies;

2. Giving advice on risk in the workplace and the appropriate control measures to be adopted;
3. Drawing up procedures for venting the design and commissioning of new plant and machinery;
4. Assisting management in setting performance standards and carrying out proactive and reactive
monitoring;
5. Advising management for the requirements of health and safety legislations;
6. Organizing and reviewing emergency procedures;
7. Promoting a positive health and safety culture within the organization;
8. Investigating accidents and ill-health cases;
9. Carrying out or assisting in the audit of the health and safety management system;
10. Liaising with enforcement authorities;
11. Maintaining health and safety information system;

REASONS FOR MANAGING HEALTH & SAFETY

2. July 2008 – Q10 – 20
A financial review within your organization has resulted in a proposal to the Board of Directors to cut its
health and safety budget and to cancel a project that was designed to lead to significant improvements in
the working environment.

Write a report to the Board giving reasons why the proposal should be rejected. (20 marks)

OR

July 2012 – Q7 – 20
You are preparing detailed report intended to persuade senior management to make resources available
for the management of health and safety.

Outline issues for managing health and safety that you should include in the report. (20 marks)

Managing health and safety is an essential part of a company business that must be include in setting out
corporate objectives and targets such as on production demands or quality objectives and taking strategic
decisions in all business issues, health and safety should also considered and included in all aspects of the
organization’ activities. The allocation of appropriate budget and considering as an investment in order
prevent potential costs such as the provision of necessary resources that would lead to significant
improvement and setting good standard to health and safety. This would have beneficial effects on the
morale of the workforce which would lead to an improvement in the productivity, efficiency, quality and
employment relation and avoidance of possible legal action particularly in view of the possible liability

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of directors and/or managers. Whereas, setting up a less priority to health and safety such as deciding to
reduce the health and safety budget, the organization may incur such potential costs that would include
financial lost and various costs from accident such workers suffering from injuries and illnesses,
property damages and many other negative consequences. These costs, an insurance will pay such a
large compensation claims in event of disabling injuries or serious property damages but this only a
small proportion of the overall costs. Many of the accident associated with an accident or illness not
actually covered by insurance policy or considered as an uninsured costs may include product or
material damage, lost production time, legal costs, fines, prosecution and enforcement actions. These may
referred to as hidden cost as they are not easy to see or account for. Accident and ill-health are definitely
costly; these costs are variously categorized as direct and indirect cost. Direct cost are the calculable
costs arising directly from the accident such as sick pay, damage to equipment or materials, fines and legal
fees. Whereas, indirect costs are consequential to the accident but do not generally involve in the actual
payment of moneys such as loss of orders or effect on the demand of the products, business interruption,
loss of expertize and replacement and training of new employees, etc. These emphasize that indirect
costs too largely difficult to calculate and are often substantially more that direct costs. And these costs
could seriously effect to the business of the organization due to bad publicity and adverse impact on
organization’s image and reputation.

OR

Jan. 2015 – Q5 - 10
Explain the moral, legal and economic reasons for a health and safety management system

MANAGEMENT SYSTEM
3. Jan. 2009 – Q11 – 20; Jan. 2012 – Q9 – 20; Jan. 2013 – Q7 - 20
Explain the benefits of:
(a) an integrated health and safety, environmental, and quality management system. (10 marks)

Benefits of an integrated management system could have included:

1. Consistency of format and a lower overall cost through the avoidance of duplication in procedural,
record-keeping, compliance auditing and software areas;
2. Avoiding narrow decision making that solve a problem in one area but creates a problem in another;
3. Encouraging priorities and resources utilization that reflect the overall needs of the organization rather
than an individual discipline;
4. Applying the benefits from good initiatives in one area to other areas;
5. Encouraging closer working and equal influence amongst specialists;
6. Encouraging the spread of a positive health and safety culture across all three disciplines;
7. Providing scope for the integration of other risk areas such as security or product safety.

(b) Separate health and safety, environmental, and quality management system. (10 marks)

Benefits from retaining separate systems could have included:

1. Providing a more flexible approach tailored to business need in terms of system complexity and
operating philosophy (for example, safety standards must meet minimum legal requirements whereas
quality standards can be set internally – therefore, the need for a more complex system in one
element may not be mirrored by a similar need in the other two elements);

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 2. Separate system might be clearer for external stakeholders or regulators to understand and work
with;
3. Finally, they may encourage a more detailed and focused approach to auditing and standards.
OR

Jan. 2015 – Q7 - 20
Explain the principles and content of effective health and safety, quality, environmental and integrated
management systems with reference to recognized models and standards

POLICY SECTION - ORGANIZATION & ARRANGEMENT

4. Jan. 2010 – Q7 – 20
(a) Outline the purpose of the ‘organization’ and ‘arrangement’ section of the health and safety policy. (4
marks)
The purpose of the organization section of a health and safety policy is to identify health and safety
responsibilities within the company and ensure the effective delegation and reporting lines. The purpose of
the section on arrangements is to set out in detail the specific system and procedures that aim to assist in
the implementation of the general policy.

(b) Outline why is it important that all workers are aware of their roles and responsibilities for health and
safety in an organization. (8 marks)
Ensuring all persons in an organization aware of their roles for health and safety will assist in defining their
individual responsibilities and will indicate the commitment and leadership of senior management. A clear
delegation of duties will assist in sharing out the health and safety workload, will ensures contributions from
different level of jobs will help to set out clear lines of reporting and communication and will assist in
defining individual competencies and training needs particularly for specific rules such as first aid and fire.
Finally, making individuals aware of their own roles and responsibilities can increase their motivation and
help to improve morale throughout the organization.

(c) Identify the issues that could be included in the ‘arrangement’ section of organization’s health and
safety policy giving an example in EACH case. (8 marks)
Issues could be included in the ‘arrangement’ section of health and safety policy such as:

1. Safe system of work such as permit to work procedure;

2. Arrangement for carrying out risk assessment;
3. Controlling exposure to specific hazards for example noise, radiation and manual handling;
4. Monitoring standards of health and safety in the organization by means of safety tours, inspections
and audit;
5. The use of personal protective equipment such as harnesses and RPE;
6. Arrangement for reporting accidents and unsafe conditions;
7. Procedures for controlling and supervising contractors and visitors;
8. Arrangement for maintenance whether routine or planned preventive;
9. Welfare arrangements such provisions of sanitary conveniences;
10. Procedures for dealing with emergencies such fire, flooding and bomb threats;
11. The provision of safety training;
12. Arrangement for consultation with the workforce through safety representatives or safety committees;
13. Environmental control including noise monitoring and waste disposal.

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OHSMS POLICY SECTION REQUIREMENTS
5. July 2011 – Q10 – 20
(a) Outline the requirements for the development of and key objectives within the policy section of a health
and safety management system such as that detailed in the ILO-OSH-2001 Guidelines in Occupational
Health and Safety Management Systems. (11 marks)
The policy section of a health and safety management system should:

1. Include consultation with workers and their representative;

2. Set out in writing a policy which should be specific to the organization, appropriate to its size and the
nature of its activities and be concise, clearly written and dated and made effective by the signature or
endorsement of the employer or the most senior accountable person in the organization;
3. The policy should be communicated and made readily accessible to all persons at their place of work,
reviewed for continual suitability and revised when seen to be necessary;
4. Additionally, it should be made available to relevant external interested parties as appropriate;
5. They key objectives of the policy should be to protect the health and safety of all members of the
organizations by preventing work related injuries, ill-health, diseases and incidents and these would
be achieved by complying with relevant occupational health and safety national laws and regulations,
voluntary programmes, collective agreements on occupational safety and health and or the other
requirements to which the organization subscribes. Achievements of the objectives would also be
aided by ensuring that all workers and their representatives are consulted and encourage to
participate actively in all elements of the organization’s occupational health and safety management
system with the aim of securing a continual improvement in the standard of the system.

(b)
(i) Describe how the effectiveness of a health and safety management system could be measured.
(6 marks)
Effectiveness of a health and safety management system could be measured by both proactive and
reactive measures. Proactive measures of performance involve carrying out safety inspections, surveys,
safety sampling, tours and audits while reactive measures include investigation of accidents, analyzing
accident incident rate, reviewing ill-health cases and absenteeism of employees, complaints and notices
from relevant authorities.

(ii) Giving an example in EACH case, outline the format in which the data gathered on health and
safety performance could be presented clearly in a company annual report. (3 marks)

Data gathered on health and safety could be presented in a company annual report by graphical
representation such as pie charts and histograms displaying accident statistics; tabular representation such
for example number of risk assessments completed, and textual representations with a brief summaries of
department initiatives and case studies.

Section B – 10 Marks Question

TURNBULL REPORT – TRUE COSTS OF ACCIDENTS
1. July 2005 – Q4 - 10
(a) Outline the difficulties that organizations face in trying to ascertain the true cost of accidents and
incidents.
(5 marks)

Some of the difficulties include:

1. The difficulty in defining the scope and minimum level of incident to be costed;

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 2. Problems of under-reporting or recording;
3. Difficulty in understanding the full scope of costs associated with an accident or incident;
4. Difficulty in obtaining realistic cost figures for more suitable cost elements such loss of productivity or
goodwill;
5. The time and resources required to collect the data and to undertake the costing;
6. Long-time delay associated with some cost as compensation.
(b) Explain briefly how compliance with the philosophy advocated in the Institute of the Chartered
Accountants’ document on ‘Internal Control’ (The Turnbull Report) would support good safety
management in an organization. (5marks)
In relation to the key element of the ‘The Turnbull Report”, an organization will be benefited by ensuring a
good health and safety standard for adopting the necessary elements include the provision of clear policy
and commitment by all members of the organization with the initiative by the top management, it includes
the compliance of applicable laws and regulatory requirements; risk evaluation through the process
of risk assessment, management processes that control the risk into acceptable level; monitoring
arrangement; clear communication and reporting arrangements; a process of internal audit; an
annual Board level review risk controls and statement to shareholders that defines the effectiveness of
the internal control system.

DAMAGES, COMPENSATION & LIABILITY

2. July 2008 – Q5 – 10; July 2009 – Q6 – 10; July 2012 – Q4 - 10
(a) Outline what is meant by punitive damages in relation to a compensation award, clearly stating their
purpose and to whom the damages are paid. (5 marks)
Punitive damages are a financial or monetary award which, while paid to a claimant, are not awarded to
compensate, but in order to reform or deter the defendant and similar persons from pursuing a course
of action such as that which damaged the claimant. As such they are both a punishment and deterrent.
The amount of the award is determined by a court and is not linked to the losses suffered by the
claimant.

(b) In relation to claims for compensation outline the meaning of the terms:
(i) no fault liability (2 marks)
Is a liability which is independent of any wrongly intent or negligence. As such, an injury alone is
sufficient to confer liability with compensation being paid either by an insurance company or from a
government fund.

(ii) breach of duty of care (3 marks)

There are standard conditions that must be satisfied in order to establish a breach of duty of care.
These are:

1. That a duty of care was owed by an employer to his employee;

2. That the employer acted in breach of that duty by not doing everything that was reasonable to prevent
foreseeable harm;
3. That the breach led directly to the loss, damage or injury.

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H&S PRACTITIONER – EVALUATE & DEVELOP
3. Jan. 2009 – Q1 – 10; July 2010 – Q2 – 10; July 2013 – Q1 - 10
Outline ways in which a health and safety practitioner could evaluate and develop their own competence
while working in an advisory level. (10 marks)

Health and safety practitioners might evaluate their own practice in a number of ways including:

1. Measuring the effects of changes and developments they have introduced and implement in their
organizations;
2. By setting personal objectives and targets and assessing their performance against them;
3. By reviewing failures or unsuccessful attempts to produce changes;
4. By benchmarking practice against other practitioners and against good practice case studies or
information;
5. By seeking feedback from others such as clients of the organizations;
6. As part of the annual appraisal of their own performance by senior management.
They may develop their practice by:

1. Augmenting their core knowledge and competence by obtaining professional qualifications;

2. By keeping up to date by undertaking training in relevant areas;
3. By participating in CPD schemes;
4. By ensuring they have a suitable access to suitable information sources;
5. By networking in their peers at safety groups and conferences;
6. By seeking advice from other competent practitioners and consultant;
7. By initiating and following a personal development plan.

RISK MANAGEMENT
4. Jan. 2009 – Q3 – 10; July 2010 – Q3 – 10; July 2012 – Q6 - 10
A health and safety management system programme encompasses the following concepts:

(a) risk avoidance (2 marks)

(b) risk reduction (2 marks)
(c) risk transfer (3 marks)
(d) risk retention (3 marks)
Risk avoidance involves taking active steps to avoid or eliminate risk for example discontinuing the
process; avoiding the activity or eliminating hazardous substance.

Risk reduction involves evaluation the risk and developing risk reduction strategies. It requires the
organization to define an acceptable level of risk control to be achieved which could be by the use of
safety/risk management system or the use of hierarchy of control measures.

Risk transfer involves transferring risk to other parties but paying a premium for this for example by the
use of insurance; the use of contractors to undertake a certain works; the use of third parties for business
interruption recovery planning or outsourcing a process or processes.

Risk retention involves accepting a level of risk within the organization along with the decision to fund
losses internally; it could involve risk retention with knowledge where the risk have been recognized and
evaluated or risk retention without knowledge where the risk has not been identified – obviously an
unfavorable position for the organization to be in.

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CHANGING OF MANAGEMENT SYSTEM
5. July 2009 – Q1 – 10; July 2012 – Q3 - 10
An organization is planning to move from health and safety management system based on ILO OSH 2001
model to one that aligns itself with BS OHSAS 18001. Outline the possible advantage AND disadvantages
of such change. (10 marks)

Advantages of such change would include:

1. Facilitate easier integration with BS EN ISO 14001 and ISO 9001:2000, to produce an integrated
management system;
2. Being highly recognize of having standard certification;
3. Improved costumer perception;
4. International recognition;
5. A clearer standard for benchmarking and commitment to continual improvement;
6. Recognize that external registration and independent external assessment would be available and
that a more perspective system is easier to assess.

Disadvantages would include:

1. The fact that models like ILO OSH 2001 is the system recognized and used by the regulator and they
are likely to audit an organization against this standard, as much of the published guidance is often
directly linked to the model;
2. Costs of changing the system;
3. Time consuming the model can be;
4. The cost of external registration;
5. The likelihood of increased paper work to satisfy assessors and the fact that the model may be too
sophisticated for small to medium enterprises;
6. Additionally, since the 18001 system is often used alongside the other ISO standards of 9001 and
14001, there is possibility that those auditing it may not be health and safety specialist.

SOCIETAL FACTORS
6. Jan. 2014 – Q6 – 10
Outline the societal factors that influence health and safety standards. (10 marks)

Societal factors that influence health and safety standards include:

1. Economic climate when a times are good in an organization they allocate budgets to manage health
and safety such spending on safety equipment, training, health surveillance and safety campaigns
while when times are bad, the priority will be on production and expenditures on health and safety are
cut back;
2. Industry or business risk profile such as for example in mining company where in every aspect of
activities possesses significant risks comparing to small trading company only minimal risk arises to a
certain number of employees;
3. Globalization of businesses where a different persons with expertize would be move to a more
develop countries leaving their own country that leads to decline a productivity and social instability;

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 4. Migrant workers where the use of people from other countries that could creates difficulties within
the organization such unskilled and lack of education and might be with cultural differences and also
language barriers and people on how they perceive the risk;
5. Sickness and ill-health leading to workers’ absenteeism that impact health and safety performance
reflecting unhealthy organizational and management practices that would potentially reduce
productivity in an organization;
6. Workers with disabilities that has a limited function within a certain organization;
7. Corporate social responsibility where some organizations conduct their activities in an ethical
manner including health and safety management strategies produces a corporate value. This includes
setting a targets and emphasizing continual improvement to health and safety to gain productivity.

Section C – Revision Question

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UNIT IA2 – LOSS CAUSATION AND INCIDENT INVESTIGATION

Section A – 20 Marks Question

ACCIDENT RATE CALCULATION AND DIFFERNCE BETWEEN TWO COMPANIES
1. Jan. 2005 – Q10 – 20
The following table shows the number of lost-time accidents to employees for two hospitals situated in the
same locality. Hospital A is a long established NHS general hospital employing 2,500 staff, whereas
Hospital B, which opened in 1998, is a private hospital employing 300 staff.

Year Hospital A Hospital B

2000 75 4

2001 69 7

2002 82 6

2003 78 5

(i) Assuming that the numbers of employees have remained constant over the period, calculate the
lost-time accident incidence rates for the two hospitals and draw general conclusions from the
results. (4 marks)
Accident rates:

Year Hospital A Hospital B

2000 30 13.3

2001 27.6 23.3

2002 32.8 20

2003 31.2 16.7

Clearly emphasized from the figure that incidence rates in Hospital A were higher, and often significantly
higher, than those in Hospital B

(ii) Identify possible limitations with the data that might make direct comparison on safety
performance unreliable. (4 marks)
Some limitations relating to the data include:

1. Hospitals have different definitions of a lost-time accidents or reporting rates, or propensity to take
time off following an accident, may vary between hospitals for socio-economical or cultural reasons;
2. The extent of contractor use may differ (the figures relate solely to employees) and no account
appears to have been taken of overtime or part time employees i.e. the figures relate to actual
numbers of employees and not to a full-time equivalence;
3. Might be no account is taken of injury severity in the data, which would be a key parameter in making
a valid comparison.

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 (iii) Suggest reasons for an actual difference in safety performance between two hospitals. (12
marks)

Possible reasons for the difference in safety performance between the hospitals would focus either
inherent risk levels or the adequacy of risk management arrangements. These have included the following:

1. The nature of the hospital activities (e.g. the presence or absence of emergency department with
its attendant problems of unplanned admission, potentially difficult or intoxicated patients and
increased patient movement and handling);
2. The age of the hospitals with the newer hospital potentially having better designed and modern
equipment, and premises that has incorporated modern standards of safety and environmental control
into their design;
3. The older hospital having a larger, more complex workforce to manage and possibility being less
able to complete for well-trained and experienced staff in the local marketplace;
4. Risk assessment and safety management process that may differ between the hospitals, with the
newer hospital being able to develop systems from scratch when it started in 1998 and not having to
cope with historical or out-of-date practices and a larger, more complex workforce and range of risks.

ACCIDENT INVESTIGATION – INJURED VISITOR AT WORKPLACE

2. Jan. 2008 – Q11 – 20; Jan. 2010 – Q8 – 20; July 2011 – Q7 – 20; Jan. 2014 – Q7 - 20
A forklift truck is used to move loaded pallets in a large distribution warehouse. On one particular occasion
the truck skidded on a patch of oil. As a consequence the truck collided with an unaccompanied visitor and
crushed the visitor’s leg.

(a) State reasons why the accident should be investigated. (4marks)

Reasons for investigation accidents such as:

1. To identify their causes, both immediate and underlying;

2. To prevent recurrence;
3. To assist compliance with legal requirements;
4. To demonstrate management’s commitment to health and safety and to restore employee morale;
5. To obtain information and evidence for use in the event of any subsequent claim;
6. To provide useful information for the costing of accidents and for identifying trends;
7. To identify the need to review risk assessments and safe system of work.

(b) Assume that the initial response of reporting and securing the scene of the accident have been carried
out. Outline the steps which should be followed in order to collect evidence for an investigation of the
accident. (8 marks)
Necessary steps to be taken in carrying out accident investigation that includes:

1. Taking photographs and making sketches and taking measurements of the scene of the accident
before anything was disturbed;
2. Obtaining any CCTV footage available;
3. Examining the condition of the forklift truck and determining the speed at the time of the accident;
4. Determining the load that was being carried, the safe working load of the truck and any forward
visibility problems with the load in place;

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 5. Finding out reasons where the oil spillage, the emergency spillage procedures in place and the
reasons why they were not followed on this occasion;
6. Assessing the competence of the forklift truck driver and examining the workplace to determine any
contributing environmental factors such the condition of the floor and standard of lighting;
7. Interviewing relevant witnesses such as the visitor, where this is possible, and reception personnel
to identify current working practices as compared with the laid down written procedures for dealing
with visitors.

(c) The investigation reveals that there have been previous incidents of forklift truck skidding which had not
been reported. The company therefore decides to introduce a formal system for reporting ‘near miss’
incidents. Outline the factors that should be considered when developing and implementing such a
system. (8 marks)
Necessary factors to be considered when developing and implementing a formal near miss reporting
system includes:

1. Setting out a clear definition of ‘near miss incident;

2. Consult employees on the proposed system;
3. Arranging for information and training to be given to all employees;
4. Ensuring that the reporting methods are simple and easy to operate and establishing clear reporting
lines;
5. Introducing and practicing a no blame culture;
6. Arranging for investigation of incidents by-line management to identify and implement any remedial
necessary action;
7. Introducing of a reporting back procedure to persons and groups involved and ensuring that reports
on the incidents are collated;
8. The data analyzed and any remedial action taken monitored on a regular basis.

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INVESTIGATION REPORT – ADEQUACY & KEY STAGES OF THE REPORT
3. July 2008 – Q9 – 20; July 2009 – Q8 - 20
Below is an extract from an incident investigation form.

(a) Evaluate the report in terms of suitability to provide adequate information for record keeping purposes
and for subsequent statistical analysis. (10 marks)
Investigation report reflecting the occurrence of the incident has incomplete information provided, at times
vague (unclear) and other times inconsistencies. Lacking information include the time of the accident, the
type of first aid that was given or the precise action taken to prevent a recurrence. It was vague in its
description of the injury actually received, of the treatment given at the hospital, of the actual circumstances
which cause the punch to fall and thus of the immediate and underlying causes of the accident. Its
inconsistencies lay in a failure to provide information on the details and findings of the investigation, in the
appropriate nature of the solutions given the likely cause of the accident and in the and in the identification
of the injured person with different names being used. Additionally, it was perhaps unnecessary to name
the injured person as a witness of the accident in the absence of any other witnesses.

(b) With reference to a suitable model (e.g. HSG 245, Investigating Accidents and Incidents) outline they
stages in health and safety incident investigations. (10 marks)
Key stages in preparing an adequate investigation report initially by gathering all relevant information to
establish exactly what had happened including the location and time of the accident and the persons who
might be affected. This would involve a visual inspection of the location, interviewing witnesses and
reviewing relevant documentation. Once all the information had been gathered, it would be necessary to

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analyze it, perhaps making use of FTA or a similar tool, to establish the immediate and underlying causes
of the incident. This would be enable the investigators to identify the appropriate risk control measures to
prevent a recurrence of a similar incident. The final stage would be to produce an action plan, setting out
objectives to be achieved, clearly identifying responsibilities for their completion and maintaining a record of
the progress being made.

TRAIN COLLISION ACCIDENT – CAUSES OF DRIVER’S PERCEPTION & CORRECTIVE ACTIONS

4. July 2009 – Q10 – 20
A train driver has passed a stop signal resulting in a collision with another train. Investigation of the incident
concluded that the driver had seen the overhead signal but had not perceived the overhead signal
correctly. There had been a number of previous similar incidents at the signal, although the driver was not
aware of this.

The driver concerned was inexperienced and had not received information and training associated with the
route. The signal was hard to see being partly obscured by a bridge and affected by strong sunlight. In
addition, the arrangement of the lights on the signal was non-typical formation. The driver had approached
the signal with no expectation from previous signals that it would be on ‘stop’.

(a) Give practical reasons why the driver may not have perceived the signal correctly. (7 marks)
Some reasons contributing the wrong perception of the driver to the signal include:

1. Sensory impairment of the driver and its expectations which might be the colour of the signal being
mistaken either because of the strong sunlight or the driver’s colour vision was defective;
2. The signal itself could have been defective;
3. The driver may have read the wrong the signal because of its unusual formation;
4. The signal was visible for a short time only and its perception would have needed a full attention of
the driver;
5. The driver expectation from previous signal positions may have influenced his perception;
6. Finally, his perception may have been dulled by the effects of alcohol, drugs or fatigues.

(b) Outline the steps that could be taken to reduce the likelihood of a recurrence of this incident. (13
marks)
Steps that could be taken include:

1. Initially, re-design and re-locate the signal and replacing unusual signal formations and consult the
drivers during this process;
2. Long term action would center on the driver recruitment and selection process involving pre-
employment screening for example vision and physical capability and the provision of training to
include:
- local route information;
- unusual signal formations;
- information on signals which have been passed on danger on previous occasions with
a final assessment being made of the driver’s competence before he is allowed to
become operational.
3. Other measures would include ongoing supervision and competence assessment together with a
program of health surveillance;
4. The avoidance of driver fatigue by the provisions of breaks and the organization of shift work;

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 5. The introduction of alcohol and substance policy;
6. Modifying the design of cab glazing to minimize the effect of glare or reflections;
7. The use of automatic train protection or warning systems;
8. And the introduction of procedures to encourage the reporting of similar incidents and to ensure
prompt action is taken by management following the receipt of such a report.

ACCIDENT NOTIFICATION & ACCIDENT & INCIDENCE RATES

5. July 2010 – Q9 – 20; July 2012 – Q2 - 10
The employer should set up appropriate arrangements to notify occupational accidents, occupational
diseases, dangerous occurrences and commuting accidents to the competent authority in accordance with
national laws.

(a) Outline appropriate arrangements which the employer should have in place for notifying such events.
(10 marks)
Appropriate arrangement that the employer must be in place in notification of reportable incidents to
competent authority includes:

1. The employer should firstly identify a competent person who will be responsible for reporting
accidents and other reportable events to the competent authority;
2. If the workplace is shared, an agreement will need to be reached on who accepts the responsibility of
reporting;
3. All reported incidents should be investigated again by a competent person and information on all
accidents provided to the workers;
4. Workers will have to be informed of the system that is adopted and what is expected of them and their
cooperation ensured;
5. Records should be kept of any incident that occurs and these should be easily retrievable through the
medical confidentiality of individuals will have to be respected.

(b) The following information is from company’s annual report:

The company has done much better at health and safety in the last year compared to previous years. The
significant reduction in accidents and fatalities shown in the table below is due to our new health and safety
advisor and a reduction of staff numbers. The management team are confident of further reduction in 2010

Year Accidents Staff Numbers Fatalities

2006 240 1500 ?

2007 185 1400 ?

2008 180 1300 11

2009 170 900 4

(i) Calculate the accident incidence rates AND comment on the findings (5 marks)
2006: (240/1500) x 1000 = 160

2007: (185/1400) x 1000 = 132

2008: (180/1300) x 1000 = 138

2009: (170/900) x 1000 = 188

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While the number of accidents decreased between 2006 and 2009 so did the number of workers but in
2009 there was a rise in the incident rate

(ii) Assess the company’s management of health and safety from the information in the annual
report (5 marks)

Base in the information collated from the annual report

1. Shows no commitment to the management of health and safety and lacked detail both on the causes
of the accidents and on the safety management in place;
2. The fatality rate seemed to be tolerated and accepted and the company expressed no remorse about
their accident performance;
3. While the directors might be confident that further reductions in the number of accidents would occur,
apparently ignoring the rise of the incidence rate, they gave no indication of how this would occur.

Section B – 10 Marks Question

DIFFERENCE OF ACCIDENT RATE & INCIDENCE FREQUENCY RATE – REPORT PRESENTATION
1. July 2008 – Q2 – 10; Jan. 2013 – Q6 – 10; Jan. 2015 – Q11(a) - 10
(a) Explain the difference between accident incidence rate and accident frequency rate. (2 marks)
Accident incidence rate is calculated by the number of accidents occurring over a period of time by the
average number of persons employed during the period with result of being multiplied by 1,000. An
accident frequency rate is calculated by dividing the number of accidents occurring during a period by the
total hours worked during the period and multiplying the result by 1,000,000.

(b) A site is divided into a small number of large departments and the number of workers in each
department is variable. You have been asked to collate details of first aid treatment cases for the site
and to present on a monthly basis, data in graphical and /or numerical format, in a way that would be
helpful to site and departmental management.

Describe how you could present this data indicating clearly the types of graphical presentation you
would use AND in EACH case the data it would contain. (8 marks)
In making presentation for monthly basis relating first aid treatment cases firstly data recorded should be
collated for the site as a whole and then for each department. Initially, it would be to produce a line graph
to show the total number of treatment cases each month and then indicate the trend by the use of trend
line or moving average. Using a frequency or incidence rate would enable changes in employee numbers
to be taken into account. A line graph could also be used to show any trend in specific causes or types of
injury while a chart or histogram could highlight the number by site or department. Another option would
be the use of pie charts, bar charts, or histograms to present information both the whole site and
individual departments on the cause of the injuries and types of trades (for example: helpers, carpenters,
etc.) requiring treatment and for the site of injuries by body parts.

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INTERVIEWING OF WITNESSES
2. Jan. 2009 – Q2 – 10
Describe the requirements of an interview process that would help to obtain from witnesses the best quality
of information to a workplace accident. (10 marks)

It needs a methodological way for conducting an interview in order to obtain the best quality of information
from the witnesses.

1. Interview must be carried as soon as possible after the event though it may be necessary to postpone
the interview if the witness is injured or in shock;
2. Providing a suitable environment for the interview;
3. Interviewing one witness at a time;
4. Putting the witness at ease, establishing a good rapport, taking care to stress the preventive purpose
of the investigation rather the apportioning of blame;
5. Explaining the purpose of the interview and the need to record it;
6. Using an appropriate question technique to established key facts and avoiding leading questions or
implied conclusions;
7. Using appropriate sketches or photographs to help with the interview;
8. Listening the witness without interruptions and allowing sufficient time to give their answers;
9. And summarizing and checking agreement at the end of interview where might it need to follow
additional information;
10. In addition, the need to adjust language to suit the witness;
11. Inviting the witnesses to have someone accompany them if they wish;
12. Showing appreciation at the end of interview.

DIFFERENCE OF ACCIDENT RATE OF TWO COMPANIES – SAME SIZE

3. Jan. 2010 – Q1 – 10; Jan. 2012 – Q1 – 10; Jan. 2014 – Q5 - 10
The accident rate of two companies is different although they have the same size workforce and procedural
identical products.

Outline possible reasons for this difference (10 marks)

Possible reasons why accident rate was differ in both two companies include:

1. Recognition or identification of reportable accidents may differ from company to company;

2. There may be differences in level of reporting and recording accidents;
3. That the definitions of the accident rate maybe different or misinterpreted;
4. That there may be differing means of calculating rates;
5. That there could be management issues such as a difference in the level of commitment;
6. That policies and procedures such as monitoring may be different and that disciplinary procedures for
non-compliance by workers may vary;
7. Additional reasons would include:
- Difference in workplace layout and the age and type of the equipment used;

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 - Human resources issues such the selection, training and competence of the workforce together
with a possible difference in the companies’ level of communication and consultation with the staff;
- Risk control issues such as the adequacy of risk assessments and the associated control
measures, the existence of safe system of work and procedures for the use and maintenance of
personal protective equipment;
- Issues connected with production such as piece work and shift work and the winning of bonus
payments which could lead to the taking of risks;
- Cultural issues such as the attitude, motivation and behavior of individuals and the effect that peer
pressure might have on health and safety culture within the organization.

ACCIDENT INTERVIEW REQUIREMENTS

4. July 2010 – Q1 – 10
(a) Giving reasons in EACH case identify FIVE persons’ who could be interviewed to provide information
for an investigation into a workplace accident. (5 marks)
FIVE persons who could be interviewed and would be able to provide information for the investigation of a
workplace accident and reasons for their choice:

1. The injured person who would be able to relate what happen;

2. An eye witness or the first person on the scene who might have observed what happen;
3. The first aid person who attended to the injured party at the scene of the accident with respect to the
injuries received;
4. The injured person’s manager and/or supervisor who would have the knowledge of the process
involved, the existing safe system of work, the procedures that should have been followed and the
training and instruction that had been given to the victim;
5. A technical expert with specialist knowledge of the process or machine involved;
6. Safety advisor who would be fully brief on the system of work that should have been followed and
any possible breaches of the legislation.

(b) Outline the issues to consider when preparing the accident investigation interviews for workers from
within the organization. (5 marks)
The most important issues to be considered include:

1. The need to carry out the investigation interviews as soon as possible after the event though it may
be necessary to postpone the process if the witness is injured or in shock;
2. A suitable date would have to be provided taking into account the availability of the people to be
called since shift patterns might have a part to play;
3. That done, the next step would be to the identify the interviewers, to consider where the interviews
would be held and how they would be recorded whether by tape recorder, by dictaphone or hand
written and to gather together any relevant documentation such as risk assessment or training
records;
4. It would also be important to bear in mind the requirements of employment law and trade unions
issues such as employee rights, the right to be accompanied or to have legal representation;
5. Finally consideration would have to be given to the format and distribution of the final accident report
and how the information gathered might be used to introduce measures to prevent recurrence or a
possible defense in any possible prosecution or civil law suit.

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LOSS & NEAR MISS INVESTIGATIONS – DOCUMENTATION & INVOLVEMENT OF STAFF
5. Jan. 2015 – Q1 – 10
Explain loss and near miss investigations, benefits, the procedures, the documentation, and the
involvement of and communication with relevant staff and representatives. (10 marks)

Loss and near miss investigations are a reactive action of identifying the findings of unplanned events
that had the potential to result in a loss. It is important that those events must be reported and investigated
and necessary corrective measures must be initiated to avoid actual loss in the future. The benefits of
investigating near miss incidents include:

1. Preventing recurrence of similar adverse event in the future;

2. Preventing business loss due to disruption, stoppage, loss of orders and the cost of legal actions;
3. Improvement in employee morale and attitude towards health and safety. Employees will be more co-
operative in implementing new safety precautions if they were involved in the decision and can see
what problem was solved.
Once the basic information of the event has been noted on what happened, it must be analyzed whether it
should be investigated or not depending on the potential consequences and the likelihood of the adverse
event recurring. Due to these factors relating the event was could determine the level of investigation
considering the worse possible consequences of the adverse event that may have caused any injury but
has the potential to cause major or fatal injuries.

The urgency of the investigation will depends on the magnitude and the nature of the risk involved. Where
a low level investigation for short investigation process, a relevant supervisor or line manager would be
involved into the circumstances to immediately identify the underlying and root causes of the adverse
event, to try to prevent recurrence and must learn any general lessons. Through a medium level
investigation would be more detailed investigation by relevant supervisor or line manager, health and
safety advisor and employee representative will examine the underlying and root causes. Whereas, a high-
level investigation will involve a team based investigation, involving supervisors or line managers, health
and safety advisors and employee representatives and under the supervision of senior manager or director
and will look the immediate, underlying and root causes.

Once all the information had been gathered and analyzed, a suitable control measures should be
established and develop an action plan and ensure its implementation most likely with the involvement and
commitment of the senior manager or director taking into consideration that the action plan should be
SMART objectives to ensure that is put into effect.

Details of investigation should be recorded for further review if the recommended control measures are
being completed and the information should be communicated to concern parties such as workers,
supervisors and the management. The information should be presented in a manner that everyone
understands how the adverse event occurred and the action plan in place to prevent recurrence and
emphasize the purpose of the investigation is to seek a solution and not to apportion a blame or to
discipline an individual.

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ACCIDENT – SAFETY PERFROMANCE
6. July 2010 – Q6 – 10
Explain the limitation of relying only on accident numbers as a measure of health and safety performance.
(10 marks)

Limitations include:

1. The possibility of under reporting;

2. The fact that though there are few accidents, this may not be as a result of an effective health and
safety management system and additionally, in low risk business, few accidents are not always an
indicator of effective control while in a business where the risk is high, a large number of accidents
are not always indicate and effective management system;
3. The number of accidents alone gives no indication of the incidence of ill-health or the number of near
misses that may have occurred;
4. They do not provide data on the frequency or severity of the accidents that may have occurred, the
accident rate relative to the number of workers nor a measurement of trends overtime;
5. They do not provide an opportunity for comparisons with a benchmark standard and the data
produced is historical and reactive whereas a true indication of health and safety performance relies
on both proactive and reactive monitoring measures.

ACTIVE/LATENT FAILURES
7. July 2013 – Q4 – 10
The consequences of human failure can be immediate or delayed.

(a) Explain the differences between active failures and latent failures. (6 marks)
Active failures are those unsafe acts which have immediate effect on the integrity of the system and are
usually committed by those directly involved in the activity. Whereas, latent failures are those conditions
may lie dormant (hidden/inactive) within the system for many years before they triggered via combination of
active failures to create an accident opportunity.

Note: Usually latent failures can be identified by stringent risk assessments which identify potential hazards
and risks and allows corrective actions to be taken before an adverse event occurs.

(b)
(i) Give TWO examples of an active failure. (2 marks)
Active failures may in the form of mistakes, violations, slips and lapses

(ii) Give TWO examples of a latent failure. (2 marks)

Latent failure could include lack of recognition by the senior management of the importance of health and
safety or giving a low priority and with no visible commitment.

Section C – Revision Question

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UNIT IA3 – MEASURING HEALTH AND SAFETY PERFORMANCE

Section A – 20 Marks Question

FAILURE OF CAMPAIGN / PROACTIVE MONITORING TECHNIQUES
1. Jan. 2009 – Q9 – 20
As part of its health and safety management system an organization monitors its health and safety
performance.

(a) Excluding safety tours, outline FOUR active monitoring techniques. (4 marks)
Active monitoring techniques include:

1. Physical inspections of the workplace to identify hazards and unsafe conditions;

2. Safety audits where the systematic critical examination of all aspects of an organization’s health and
safety performance against stated objectives is carried out;
3. Safety sampling of a specific area or particular items of plant with repeat sampling to observe the
trends;
4. Safety surveys involving depth examinations of specific issues or procedures such changing in
working practices;
5. Environmental monitoring and/or health surveillance;
6. Safety climate measures such the use of employee questionnaires;
7. Behavioural observations and measuring health and safety performance against set targets;
8. Benchmarking where performance in certain areas is compared with that of other organizations with
similar process and risks.
(b) Outline FOUR reactive monitoring techniques. (4 marks)
Reactive monitoring techniques include:

1. Accident investigations to determine root causes and reasons for substandard performance;
2. Ill-health reports which provide information about work related conditions and issues that affect
health;
3. Near miss and dangerous occurrence reports which provide details of events that point to root
causes common to accidents and point to failures in control measures;
4. Enforcement action which related to specific breaches of the law and the need for improvement in
health and safety;
5. Number of civil claims again pointing to areas where improvement is necessary;
6. Analysis and comparison of costs associated with accidents and employee complaints which
provide an indication of workplace health and safety shortcomings that give concern.

(c) Explain the benefits of:

(i) Active monitoring (6 marks)
Benefits of active monitoring are:

1. It is not reliant on the reporting hazards and gives a picture of current performance;
2. It identifies hazards before the events and allows measurement of compliance and non-compliance;
3. It identifies reason for non-adherence to procedures;
4. It enables more effective decision making;

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 5. Finally, enables employee involvement.
(ii) Reactive monitoring (6 marks)
As for reactive monitoring, its benefits are:

1. It measures historic performance;

2. It relies on accurate reporting;
3. It identifies the consequences of hazards and importantly the cause of failure;
4. It identifies legal compliance and non-compliance;
5. It demonstrate commitment and improves morale;
6. It allows data to be used to compare trends over time;
7. It provides an opportunity to learn.
OR

July 2010 – Q8 – 20; Jan. 2013 – Q10 - 20

(a) Explain the objectives of:
(i) Active health and safety monitoring (5 marks)
The objective of active monitoring is to give an overview of the strategies currently in place to control risk
and to provide information on how the system operates in practice. It can thus identify risks of accidents,
injuries, ill-health and loss and by ensuring appropriate health and safety systems and procedures are in
place, allows the initiative to be taken before things go wrong.

(ii) Reactive health and safety monitoring (5 marks)

The objective of reactive monitoring is to measures historic performance by looking at the events that
have occurred and identifying the consequences of a hazards and the cause of the failure, to establish
what systems and procedures can and should be put in place to prevent a recurrence. It also provides a
data which may be used to assess and compare trends over time.

Both active and reactive monitoring maybe used to measure legal compliance or non-compliance and by
providing a basis for continual improvement may demonstrate commitment on the part of the management
and improve the morale of the workforce.

AUDITING PROGRAMME – ORGANIZATIONAL & PLANNING ISSUES

2. Jan. 2010 – Q11 – 20; Jan. 2012 – Q11 – 20; July 2013 – Q8 - 20
As the Health and Safety Adviser to a large organization, you have decided to develop and introduce an in-
house auditing programme. To assess the effectiveness of the organization’s health and safety
management system

Describe the organizational planning issues to be addressed in the development of the audit programme.
You do not need to consider the specific factors to be audited. (20 marks)

Prior to initiate and audit, an audit programme must be develop that includes some organizational and
planning issues. This included the following:

1. A consideration of the scope and terms of reference of the audit;

2. Logistics and resources required and obtaining the support and commitment of senior managers and
other key stakeholders since if it was not obtained, much required information might be forthcoming
and the value of the audit would be diminished;
3. Consideration of the nature, scale and frequency of the auditing relative to the risk involved;

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 4. The standards against which the management arrangements were to be audited such as, for example,
legal or good practice, and the identification of key elements of the audit process such as planning,
interviews and verification, feedback routes and the preparation and presentation of the final report;
5. The need to develop audit protocols and consider issues such as scoring or the proprietary software;
6. The types of auditing such as comprehensive, horizontal or vertical slicing;
7. Its scope such as management system elements or selected performance standards;
8. The use of single auditor or audit teams;
9. The training of auditors and briefing those members of the organization who were likely to be affected.

REVIEWING HEALTH AND SAFETY PERFORMANCE

3. Jan. 2014 – Q11 - 20
You area the health and safety manager attending an annual senior management meeting where health
and safety performance objectives are being reviewed

(a) Outline factors that should be considered when setting health and safety performance objectives.
(8 marks)
When setting a health and safety objectives need to be specific, measurable, agreed with those who deliver
them, realistic and set against a suitable timescale (SMART). Factors that should be consider when setting
out health and safety objectives include clear policy statement that includes requirements of relevant
legislations for the protection of health and safety of the well-being in the workplace. It needs also to
consider measuring performance against the objectives of the standard being set for health and safety such
as active system that monitors the achievement of objectives and compliance of the standards and reactive
system that monitors the historic event of deficient with the health and safety performance (e.g. accident
and incident report, ill-health and hazard reports). In addition, assessment of the risk need to be considered
that highlights the appropriate control measures for specific hazards that helps in obtaining such objectives.
Consultation with the workers and form of communication would also other factors and ensuring the
commitment of the line management for aiming such objectives.

(b) Explain why health and safety performance should be reviewed (4 marks)
Health and safety performance must be reviewed to analyze the data gathered through monitoring
techniques (e. g. auditing) and to make judgement whether performance is adequate against the set health
and safety standard so that the risks are being adequately controlled or managed. The review on health
and safety performance include whether the health and safety objectives was being achieved, whether risk
controls was being effectively implemented, whether it meets legal standards, etc.

(c) Outline factors that should be considered when reviewing health and safety performance. (8 marks)
Factors to be consider when reviewing health and safety performance include:

1. Work related ill-health data that leads absence of employees;

2. Past performance reviews;
3. Enforcement authority notices;
4. Accident report and accident and incident data including preventive and corrective actions;
5. Claims records;
6. Health surveillance ;
7. HAZOP study;
8. Benchmarking;

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 9. Legal and good practice development;
10. Evaluation of compliance;
11. Actions from previous management reviews;
12. Monitoring system e.g. inspection, surveys, tours and sampling;
13. External communication and complaints arises;
14. Results of participation and consultation with the employees;
15. Monitoring data, records and reports.

Section B – 10 Marks Question

FAILURE OF CAMPAIGN / PROACTIVE MONITORING TECHNIQUES
1. Jan. 2008 – Q6 – 10
A publicity campaign was used to encourage improvement in compliance with safety standards within a
particular organization. During the period of the campaign the rate of reported accidents significantly
increased and the campaign was considered to be a failure.

(a) Outline reasons why rate of reported accidents may have been a poor measure of the campaign’s
effectiveness. (2 marks)
Reasons include:

1. They may have been previously under reported;

2. Perhaps because some employees were unaware of the requirement to report and that raised
awareness;
3. Prompted by the advertising campaign;
4. Could have led to previously unreported accidents now being reported;
5. In the absence of any other data, it would be almost impossible to tell whether or not the increase is
‘real’;
6. Using the number of reported accidents is an unsatisfactory way of measuring the effectiveness of the
campaign since the anticipated improvement in health and safety standards may not be apparent until
sometime after the campaign has ended.
(b) Outline FOUR proactive (active) monitoring techniques which might be used to assess the
organization’s health and safety performance. (8 marks)

Proactive monitoring techniques include

1. Physical inspection of the workplace to identify hazards and unsafe conditions;

2. Safety audits where the systematic critical examination of all aspects of an organizations health and
safety performance against stated objectives is carried out;
3. Safety tours involving unscheduled inspection to observe the workplace in operation without prior
warning and to check on issues such housekeeping, use of PPEs, gangways and maintenance of fire
exits;
4. Safety sampling of specific area or particular items of plant with repeat sampling to observe trends;
5. Safety surveys involving in depth examinations of specific issues or procedure such as changes in
working practices;
6. Environmental monitoring and/or health surveillance ;

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 7. Safety climate measures such the use of employee questionnaires;
8. Behavioral observations and measuring health and safety performance against set targets.

SAFETY TOUR
2. Jan. 2009 – Q5 – 10
Outline how safety tours could contribute to improving health and safety performance and to improving
health and safety culture within a company.

Discussion of the specific health and safety requirements, problems or standards that such tours may
address, is not required. (10 marks)

There are a number of contributions that safety tours could make in improving health and safety
performance in a company including:

1. Helping to identify compliance or non-compliance with performance standards;

2. By, repetition in the same area, indicating and improving or worsening trend and checking the
implementation and effectiveness of agreed courses of action;
3. Additionally, when carried out in different areas, they can point out common organizational health and
safety problems and may identify opportunities for improved performance through the observations of
the tour members or by conversation with employees during the tour;
4. When tours are carried out on an unscheduled basis, there is an additional benefit of observing normal
standards of behavioral rather than those specifically adopted for the event;
5. Tours may also help to improve the health and safety culture of an organization particularly if they are
led on a regular basis by members of the management indicating their commitment to the cause;
6. Additionally, prompt remedial action for deficiencies noted enhances the perception of the priority given
to health and safety matters while the involvement of employees in the tours will again encourage
ownership and improve their perception of the importance of the subject, particularly if the tours are
shared with the workforce on a regular basis.

MONITORING SYSTEM
3. July 2013 – Q2 – 10
In relation to health and safety monitoring system, outline the differences between:

(a) Active and reactive performance measures. (6 marks)

Active monitoring system is to give an overview of the strategies currently in place to control risk and to
provide information on how the system operates in practice. It can thus identify risks of accidents, injuries,
ill-health and loss and by ensuring appropriate health and safety systems and procedures are in place,
allows the initiative to be taken before things go wrong. Whereas, reactive monitoring system is to
measures historic performance by looking at the events that have occurred and identifying the
consequences of a hazards and the cause of the failure, to establish what systems and procedures that
can and should be put in place to prevent a recurrence. It also provides a data which may be used to
assess and compare trends over time.

(b) Qualitative and quantitative performance measures. (4 marks)

Qualitative monitoring system is that being subjective and common form which is based purely on
personal judgement and is normally defined as high, medium or low while quantitative attempts to
measure by relating the probability and severity of the outcome and then giving the a numerical value.

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MONITORING AND MEASUREMENT TECHNIQUES
4. July 2014 – Q2 – 10; Jan. 2015 – Q7 (b) - 10
Described the variety of monitoring and measurement techniques

Health and safety performance should be monitored as to identify the adequacy of the standard in the
workplace. There are two forms of monitoring and measurement techniques include reactive and proactive
techniques. Reactive means is to look at historical events that have occurred and identifying the
consequences of a hazards and the cause of the failure, to establish what systems and procedures that
can and should be put in place to prevent a recurrence. Whereas, proactive techniques indicates the
initiative to be taken to prevent adverse event that could happen that control the risk of accident, injuries, ill-
health and loss and by ensuring appropriate health and safety systems and procedures could be
implemented. Techniques include:

1. Health and safety audit that a systematic examination of health and safety performance;
2. Workplace inspection to look for the hazards or non-compliance with the workplace requirement
including relevant legislations, rules and procedures and safe work practices and taking into
consideration the necessary precautions;
3. Safety Tours through a predetermined route into the working area that could be conducted by a range
of personnel including managers, supervisors, safety representative and advisors. Typically last only
15 minutes or so and may be carried out weekly intervals e.g. ensuring standard housekeeping are
acceptable, walkways and accesses should not be obstructed and other hazards that could be dealt
quickly;
4. Safety Sampling organized system monitoring techniques to obtain measures of attitudes and
behaviors of individuals at the workplace including possible sources of accident. Observations should
be recorded and made along in predetermined routes into the workplace;
5. Safety Surveys where a detailed examination of particular safety aspects e.g. checking fire-fighting
equipment, examination of all safety devices on machines, check noise levels nearby operation of
machineries, checking levels of dust contaminants and level workplace illumination;
6. Benchmarking when comparing a standard with other organization with similar activities.

HEALTH AND SAFETY PERFORMANCE REVIEW

5. Jan. 2015 – Q2 – 10
Explain the requirements for reviewing health and safety performance

Reviewing health and safety performance is of the key elements of effective management system as a
process of making judgement regarding health and safety standards and where necessary to decide any
remedies of the identified deficiencies against the set standards. Review should be done regularly to
analyzed the gathered through monitoring techniques and should be both formal and informal in different
levels of company. Formal review such as audit that may cover the whole site or organization and
informal review might instigate through inspection or safety tour or walkthrough that would identify failure
of infringement at the workplace that risks should be adequately controlled.

Data gathered during the review in different monitoring techniques that would include work related ill
health data and accident record, such notices from enforcing authority; past performance reviews; health
surveillance; benchmarking, etc. In addition, it would also consider observations of legal compliance
evaluation and good practices developments; monitoring data, records and reports such inspection, tours,
surveys and sampling to identify areas where improvements are required, preventive and corrective action
taken for any non-compliance of the system and assessment of specific set objectives.

Reviewing health and safety performance helps the system remain appropriate, useful and cost-effective.

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PLANNING AN INSPECTION PROGRAM
6. Jul. 2009 – Q5 – 10
Outline the issues that should be considered when planning a health and safety inspection program. (10
marks)

Note: Information on the specific workplace conditions or behaviors that might be covered in an inspection
is not required.

Four key words for the answer: who, what, where and when

Factors to be included in planning inspection programme could include:

1. The composition and competence of the inspection team;

2. The specific areas of the workplace to be inspected;
3. The frequency and timings of the inspections which may have to be more in higher risk areas with a
decision being made as to whether the inspections would take place at peak working times or during
slow periods;
4. The method of carrying out of the inspections and whether checklist should be prepared and if so by
whom;
5. The possible needs to provide PPE for the inspection team;
6. The involvement of the workforce in consultation on the proposed programme;
7. Consulting previous inspection reports and searching applicable legislations and standards; and
8. Deciding on procedures to be followed after the inspection to ensure appropriate remedial action is
taken.

Section C – Revision Question

MEASURING HEALTH AND SAFETY PERFROMANCE USING ACCIDENT RATE
1.
(a) Outline the strengths of using accident rates as measures of health and safety performance. (2
marks)
Strengths of using accident rates as measures of health and safety performance such as the fact they are
a measurable number with defined criteria. It could also useful to provide an easy way of plotting trends
and that they represent categories of loss event which have actually happened and which are undesirable.

(b) Outline the weaknesses of using accident rates as a measure of health and safety performance. (8
marks)
When using an accident rates as measure of health and safety performance its weaknesses include it
indicates historic measures but not a prediction of future performance and that they indicate the
effectiveness of previous rather than current safety measures. Their might be that accidents may not be
reported or recorded, and when or if they are, their number may often be too small to be used as a
statistically reliable performance indicator. It could also be noted that they absence of accidents does not
mean that procedures currently in place are safe. Accident rates do not provide a measure of the actual or
potential severity of an accident nor do they identify high consequences, low probability risk. In addition, the
fact that the minor accidents, near misses and other such incidents are not included, rates do not reflect of
any chronic health issues and that differences in the interpretation of the word ‘accident’ and the way in
which contractors or part-time workers are treated may make the data and their comparison invalid.

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UNIT IA4 – IDENTIFYING HAZARDS, ASSESSING AND EVALUATING RISKS

Section A – 20 Marks Question

ETA EVENT TREE ANALYSIS
1. Jan. 2008 – Q7 – 20; Jan. 2011 – Q7 - 20
(a) Outline the principles, application and limitation of Event Tree Analysis as a risk assessment
technique. (6 marks)
Event tree is used to investigate the consequences of loss-making events in order to find ways of
mitigating rather than preventing losses. It is a forward thinking process, based on binary logic and is often
used to estimate the likelihood of success or failure of safety systems. It begins with the initiating event and
ends with the probability of a situation being controlled or not. It is limited by a lack of knowledge of
component reliability and other data and since it considers only two possibilities – success or failures – it
does not take into account partial downgrade (i.e. limited success).

(b) A mainframe computer suite has a protective system to limit the effects of fire. The system comprises a
smoke detector connected by power supply to a mechanism for releasing extinguishing gas. It has
been estimated that a fire will occur once every five years (f=0.2/year). Reliability data for the system
components are as follows:
Component Reliability
Detector 0.9
Power Supply 0.99
Extinguishing gas release mechanism 0.95
(i) Construct an event tree for the above scenario to calculate the frequency of an uncontrolled fire
in the computer suite. (10 marks)

(ii) Suggest ways in which reliability of the system could be improved. (4 marks)
Ways of improving of reliability of the system such as:

1. Choosing more reliable components;

2. Using components in parallel;
3. Recognizing that detector was the least reliable component and so would be logical first choice for
such techniques;
4. Installing a second independent but parallel system was additional way of improving the reliability of
the system;
5. Introduction of regular programme of maintenance and testing.

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 Jan. 2012 – Q10- 20
A manufacturing company with major on and off site hazards in analyzing the risks and controls associated
with a particular process and containment failure.

Following a process containment failure (f=0.5/yr.), a failure detection mechanism should detect the
release. Once detected, an alarm sounds then a suppressant is activated. Finally, in order to control the
initial release, an operator is required to initiate manual control measures following the release of the
suppressant.

As part of the analysis, the company has decided to quantify the risks associated with the substance
release from the process and develop a quantified event tree from the data.

Activity Frequency/reliability
Process containment failure 0.5 per year
Failure detection 0.95
Alarm sounders 0.99
Release suppression 0.85
Manual control measures activated 0.8

(a) Using the data provided, draw an event tree that shows the sequence of events following a process
containment failure. (6 marks)

(b) Calculate the frequency of an uncontrolled release resulting from process containment failure. (6
marks)
Release 1 = 0.5 x 0.05 = 0.025/yr

Release 2 = 0.5 x 0.95 x 0.01 = 0.00475/yr

Release 3 = 0.5 x 0.95 x 0.99 x 0.15 = 0.071/yr

Release 4 = 0.5 x 0.95 x 0.99 x 0.85 x 0.20 = 0.08/yr

The frequency of an uncontrolled release would be therefore:

F = 0.025 + 0.00475 + 0.070 + 0.08 = 0.181/yr

F = 1 / 181

= once every 5.5 years

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 (c) Outline the factors that should be considered when determining whether the frequency of the
uncontrolled risk is tolerable or not. (5 marks)
Factors to be considered such as:

1. The plant location taking into account the health and environmental implications of a release;
2. The cause of the release such as for example, as a result of catastrophe together with the inevitable
(unavoidable) public outrage (violence) that it would be arouse (produce);
3. Historical data;
4. Relevant legal requirements;
5. The impact that a failure would have on production and the cost of control measures;
6. Published risk data such as those contained in Reducing Risks Protecting People.

(d) If the risk found to be tolerable, outline the methodology for cost be benefit analysis with respect to the
process described. (3 marks)
Cost benefits analysis would comprise the quantification of process losses and improvement costs in
terms of monetary value. Should a comparison indicate the process losses together with other possible
losses such as damage to the organization’s reputation exceed improvement costs, the improvement work
should be carried out. A payback period would need to be established with due consideration being given
to the value of the money involved spread over the period of time.

Jan. 2013 – Q9 - 20
A fuel storage depot situated close to a residential housing area contains a vessel for the storage of
liquefied petroleum gas. It is estimated that a major release of the contents of the vessel could occur once
every one hundred years (frequency = 0.01/yr). Such a release together with the presence of an ignition
source (probability, p=0.1), could lead to flash fire or vapour cloud explosion on site. Alternatively, if the
wind is in a certain direction _p=0.7) and there is stable speed of less than 8 ms¹ (p=0.5) a vapour cloud
may drift to the residential housing area where it could be ignited (p=0.8).

(a) Using the data provided, construct an event tree to calculate the expected frequency of fire/explosion
BOTH onsite AND in the nearby Residential housing area. (10marks)

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 (b) Comment in the result obtained in (a). (4 marks)
The probability of risk of explosion is higher in residential housing areas than onsite and that all overall level
of risk was unacceptable.

(c) Outline with examples, a hierarchy of control options to minimize the risks. (6 marks)
Hence, the risk analysis of the probability of risk of explosion is higher to the public; storage tank must
relocate to at least 20 km from the locality. Reduce the quantity of LPG to be deposited in the depot and
ensure adequate protective system to reduce the possibility of release such maintaining the plant integrity
and operational practices including frequent rehearsal of all employees on the emergency procedures that
should be taken to minimize the risk in such event occurring including the access of external emergency
responders or provision of emergency call out to the relevant authorities.

July 2013 – Q11 - 20

A manufacturing organization with major on and offsite hazards is analyzing the risks and controls
associated with a particular process and containment failure. Following process and containment failure, a
failure detection mechanism should detect the release. Once detected, an alarm should sound and a
suppressant should be discharged. Additionally in order to prevent an uncontrolled release, an operator is
required to activate manual control measures following the discharge of the suppressant. The organization
has decided to analyze the risks associated with an uncontrolled release from the process using an event
tree based on the table below:

Activity
Process containment failure and release
Failure and release detection
Alarm sounders
Release suppression
Manual control measures activated
(a) From the information provided in the table, construct an event tree that shows the sequence of events
following the process containment failure AND indicate uncontrolled release may occur. (6 marks)

(b) Outline the benefits and limitations of event tree analysis. (6 marks)
Event tree analysis is an essential advance risk assessment technique is used to identify the possible
consequences from the initiating event and the influence of controls and can also be useful tool for
investigation process particularly when there is an identifiable process. By going through each step of the
process to distinguish whether the situation were normal or whether a failure, malfunction or error occurred
that could have contributed to the event. Whereas, even tree analysis is looking only of two possible

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 consequences, it’s either a success or a failure. Also include the limitations such as the complexity and
difficulty in getting the relevant data.

(c) Outline the methodology for a ‘cost benefit analyses for the process described. (3 marks)
Following to the analysis possible consequences of the event, where might be an uncontrolled released
would occur, the organization could incur a huge lost including a multiple costs arising from the accident,
this could include large amount that is difficult to quantify into monetary terms such as damage of property
including intangible costs such as damage to reputation and loss of orders and clients and loss of morale of
the employee. Whereas, if the organization ensures the system would be appropriately in place and
maintained to contain the release, it would give a beneficial effect such as increase of profitability and
goodwill.

(d) Outline the factors that should be considered to determine whether the frequency of an uncontrolled
release would be tolerable. (5 marks)
Factors to be considered include:

1. Environmental implications such as the effect to nearby receptors and pollutions;

2. Relevant legal requirements that highlights mandatory guiding principles;
3. The location of the plant where might affect nearby localities and other facilities when release would
occur;
4. The number of employee that might be affected;
5. The emergency procedures to be adopted and access to external emergency responders.

FTA – FAULT TREE ANALYSIS

2. July 2008 – Q7 – 20; July 2011 – Q8 - 20
A chemical reaction vessel is partially filled with a mixture of highly flammable liquids. It is possible that the
vessel headspace may contain a concentration of vapour which, in the present of sufficient oxygen, is
capable of being ignited. A powder is then automatically fed into this vessel.

Adding the powder may sometimes cause an electrostatic spark to occur with enough energy to ignite any
flammable vapour. There is concern that there may be an ignition during adding the powder.

To reduce the risk of ignition, an inert gas blanket system is used within the vessel headspace designed to
keep oxygen below levels required to support combustion. In addition, a sensor system is used to monitor
vessel oxygen levels. Either system may fail. If the inert gas blanketing system and the oxygen sensor fail
simultaneously, oxygen levels can be high enough to support combustion.

Probability and frequency data for this system are given below.

Failure type/event Probability

Vessel headspace contains concentration of
0.5
vapour capable of being ignited
Addition of powder produces spark with
0.8
enough energy to ignite vapour
Inert gas blanketing system fails 0.2 per year
Oxygen system sensor fails 0.1

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(a) Draw a simple fault tree AND using the above data calculates the frequency of an ignition. (16
marks)

(b) Describe, with justification, TWO plant or process modifications that you would recommend to reduce
the risk of an ignition in the vessel headspace. (4 marks)
Modifications could include:

1. Replacing the powder feed with slurry in conducting liquid;

2. Selecting and using materials with higher flashpoint to minimize the probability of a flammable
atmosphere;
3. Redesigning the nitrogen blanketing system to improve reliability.

July 2012 – Q8 – 20
(a) Outline the limitations of fault tree analysis (4 marks)
Limitations of fault tree analysis could include the need of only skilled analyst to work with the
calculations out in complex situations and its reliance on the accuracy and availability of failure data.

(b) A machine operator is required to reach between the tools of a vertical hydraulic pressure press
between each cycle and the press. Under the fault conditions, the operator is at risk from a crushing
injury due to either (a) the press tool falling by gravity or (b) an unplanned (powder) stroke of the press.
The expected frequencies of the failures that would lead to either of these effects are given in the table
below:
Failure type Frequency (per year) Effect
Flexible hose failure 0.2 a
Detachment of press tool 0.1 a
Hydraulic valve failure 0.05 a
Activation button failure 0.05 b
Electrical fault 0.1 b

(i) Given that the operator is at risk for 20 percent of the time that the machine is operating,
construct and quantify a simple fault tree to show the expected frequency of the top event (a
crushing injury to the operator’s hand). (10 marks)

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 (ii) Outline the reasons whether or not the level of risk calculated should be tolerable. (4 marks)

(iii) Assuming that the nature of the task cannot be changed, explain how the fault tree might be
used to prioritize remedial actions. (2 marks)
To reduce the frequency of crushing injury, action should be prioritizing for preventing gravity of falls.

Jan 2014 – Q10 – 20

(a) Outline the principles of fault tree analysis (2 marks)
FTA is a systematic approach for the identification of the combination of possible consequences of
sequence of event that could result to a loss event called top event. FTA can be useful in identifying a list
of potential failures e.g. machine or process failure, component failure, an accident investigation, an
explosion and a system failure.

(b) Outline the technique of fault tree analysis. (4 marks)

FTA need to identify and define the top event of the potential failure and the top event could occur by a
sequence of event events (sub-events and basic events) and would be represented using AND/OR gates.

(c) Outline the limitations of fault tree analysis. (4 marks)

Limitations of fault tree analysis could include the need of only skilled analyst to work with the
calculations out in complex situations and its reliance on the accuracy and availability of failure data.

(d) An office is protected with an automatic fire detection and alarm system. A number of false alarms
have been activated. A false alarm can be triggered by sunlight striking a UV flame detector, dust
obscuring a smoke detector or by failure of the primary power supply. The primary power supply is
normally supplied by connection to the mains electricity. If should fail, a back-up generator activates
the electricity.

The expected probabilities of the causes of the false alarms are shown below:

Cause of false alarm Probability

Sunlight striking a UV flame detector 0.2

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 Dust obscuring a smoke detector 0.1
Power failure 0.1
Back-up generator does not start 0.05
(i) Construct a simple fault tree AND calculate the probability of a false alarm. Show calculations in
EACH case. (6 marks)

(ii) Identify the main cause of the alarm. ( 1 mark)

Main cause of the alarm was triggered by the radiant heat striking from the sunlight.

(iii) Outline remedial actions that should minimize false alarm. ( 3marks)
Remedial actions could be consider the redesigning of layout of the installation of fire alarm system
including office layout that alarm system would directly exposed from sunlight. In addition, regular
maintenance and inspection including cleaning/ensuring alarm system should be free of dust particles and
ensure power supply should be appropriately intact.

FAILURE TRACING METHOLOGIES - CALCULATIONS

3. July 2014 – Q9 – 20; Jan. 2015 – Q8 – 20
Explain the principles and techniques of failure tracing methodologies with the use of calculations

Failure tracing methodologies with the use of calculations were extensively used in the identification of
failure probabilities preferably in complex cases that could be used for accident investigation and more
detailed risk assessment. These techniques include Event Tree Analysis and Fault Tree Analysis that
represents the undesired events and its multiple causes and consequences leading and after event.

Fault tree analysis is logic diagram based on the principles of multi-causality, which traces all branches of
the events which could resulted to an accident or failure referring to as the top event, branching downward
rather that upward and would be represented using AND/OR gates and sets of symbols and labels. If the
top event could only occur both of the sub-events, this would represent AND gate (multiply to quantify the
probabilities). Whereas, if the top event could only occur from either of the sub-events, this would
represent OR gate (add to quantify the probabilities). Below example of fault tree analysis:

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Event tree analysis is used to investigate the consequences of loss-making events in order to find ways of
mitigating rather than preventing losses. It is a forward thinking process, based on binary logic and is often
used to estimate the likelihood of success or failure of safety systems. It begins with the initiating event and
ends with the probability of a situation being controlled or not. The frequency of the initiating event and the
probabilities (or reliabilities) of the safety functions need to be known, and are expressed as decimals, in
order to calculate the probabilities of the end events. The initiating event represents and starts from the
left hand side to the right hand side of the event tree to calculate the probability of the desired outcome.
(i.e. success or failure). Below example of event tree analysis:

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HAZOP – HAZARD OPERABILITY STUDIES/RISK ASSESSMENT/EXTERNAL SOURCES OF
INFORMATION
4. Jan. 2009 – Q7 – 20
An employer wishes to build a new gas compression installation to provide energy for its manufacturing
process. An explosion in the installation could affect the public and a nearby railway line. In view of this the
employer has been told that a qualitative risk assessment for the new installation may not be adequate and
that some aspects of the risk require a quantitative risk assessment.

(a) Explain the terms ‘qualitative risk assessment AND quantitative risk assessment’ (5 marks)
Qualitative risk assessment is the more common form of risk assessment which based purely on the
personal judgement, opinion and experience including approved guidance, rather on measurements with
respect to the likelihood and consequences associated of the loss event. This judgement is normally
defined as high, medium or low that could be made through comprehensive hazard identification and
discussion with the workers and includes looking at other information e.g. accident record and ill-health
data.

Quantitative risk assessment on the other hand attempts to measures the risk by relating the probability
of the risk occurring to the possible severity of the outcome and giving the risk in numerical representation.
This assessment could is being used for an advanced simulation or modelling techniques to investigate
possible accidents and will utilize plant component reliability data.

(b) Identify the external sources of information and advice that the employer could refer to when deciding
whether the risk from the new installation is acceptable. (5 marks)
External sources of information could include:

1. Governmental organization that issues set of mandated guidelines of health and safety
requirements;
2. Enforcing authorities that interprets legislations and generates code of practices and sets standards
that they want to be implemented;
3. Trade union although within a company they may regarded as external through with their
coordination via national organization (e.g. TUCP/Trade Union Congress of the Philippines) that have
significant resources that can influence through helping with claims due to accident occurring and
giving advice to employees;
4. Professional organization or institution where standards may be set by an organization like IOSH
that company may wish to follow or have their staff with the accreditation;
5. Insurance companies that encourage good practices and reduce claims. They may either increase
premiums or offer advice / consulting / training;
6. Civil and criminal courts by imposing sanctions on inappropriate behavior;
7. Media, journal or magazines with the coverage of such large accidents where an adverse publicity of
failings will motivate those concerned about image. Whereas, might be a positive coverage of a safety
culture may enhance a company image;
8. Trade bodies or other companies as well as safety groups would be a source of advice and
particularly a best practice that internal decisions makers can follow;
9. Manufacturer and suppliers that comprise the necessary information (e.g. MSDS for chemicals) and
instruction on the safe use of material or certain equipment;
10. International organization (e.g. ILO, WHO, etc.) that sets standards as guiding principles;
11. Consultant and Specialist that provides competent advise to improve health and safety
performance.

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 Jan. 2015 – Q11 – 20
Describe how to use internal and external sources of information in the identification of hazards and the
assessment of risk.

Internal sources of information such as:

1. Investigation reports on accident and near miss incidents and ill-health data all which will help to
identify workplace hazards and contribute to the understanding and estimation of the degree of risk
involved;
2. Proactive monitoring data such as those arising from inspections and audits which involve
observation of the workplace and working practices, can provide information on worker knowledge of
working practices and hazards, and on the use existing reliability of existing risk control measures, as
can maintenance and inspection records of plant, equipment or PPE;
3. Advise of health and safety professional within the organization concerning the identified deficiencies.

(c) A preliminary part of the risk assessment process is to be a hazard and operability study. Describe the
principles and methodology of a hazard and operability (HAZOP) study. (10 marks)
HAZOP is used in a more complex process or installations and is used to identify what goes wrong or
called as deviations from the intended normal operations and is best used at the design stage or when
modifications are proposed for an existing installation. Further to the identification of deviations, it would
also identify the possible consequences and what measures could be introduced to reduce the likelihood of
failure occurring or might mitigate the consequences. This study is carried with specialists of multi-
disciplinary team usually made of four to seven individuals consist of:

1. Team leader that is not necessary involved with the project but should have good experienced of
HAZOP and keep the team focused;
2. Designer to explain how the system should work;
3. Production manager that familiar with the use of the system;
4. Maintenance engineer;
5. Software specialist;
6. Safety expert;
7. Instrumentation engineer.
The team needs to define the scope of study and breaks down the system into different section (refer to as
study node), collecting the data and information to support the study of the possible deviations of the
required intensions by applying a number of guide words to relevant parameters such as temperature or
flow e.g. “NO or NOT” (negation of the design intent), “MORE” (quantitative increase), “LESS” (quantitative
decrease), “AS WELL AS” (qualitative increase), “PART OF” (qualitative decrease), “REVERSE” (logical
opposite of the intention), “OTHER THAN” (complete substitution). The study would be sets normally in the
morning with and limited time (normally maximum of 3 hours) to avoid fatigue from the specialist since
continuous study the process would be tiring to the team of getting relevant and quality of information.
Following to the studies, a brainstorming and interaction of the team should be done that stimulates
creativity ideas and results. Record relevant information by means of audio/video tape recording or could
be documented using spreadsheet that could be used for further review after sometimes if any case of
failure occurred.

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RISK ASSESSMENT / SAFE SYSTEM OF WORK
5. Jan. 2010 – Q9 – 20
An organization should carry out risk assessment before developing safe system of work.

(a) Outline the factors that should be considered when carrying out a risk assessment. (10 marks)
Factors to consider include:

1. The detail of the activity or task concerned and the equipment and materials involved;
2. Any guidelines or information provided by the manufacturer;
3. The number or type of persons to be involved in the activity;
4. The hazards associated with the activity and the likelihood and the severity of their associated risks;
5. Accident history and previous experience;
6. Legal requirements;
7. The need to involve and consult workers and to use appropriate and familiar language to enhance
understanding;
8. Monitoring the effects of assessment once it has been introduced and arranging for periodic reviews;
9. Finally, ensuring the competency of the assessor.

(b) Give the meaning of the term ‘safe system of work (2 marks)
Safe system of work is a formal procedure which results from a systematic examination of the task or an
integration of people, equipment, materials and the environment in order to identify all associated hazards
and defines a safe method to produce an acceptable level of safety or method of carrying out the task to
eliminate the hazards or reduce the risk into an acceptable level.

(c) Outline the issues to be addressed to effectively implement a safe system of work (8 marks)
Issues that should be addressed include:

1. Arranging consultation with the workforce and deciding whether to introduce the system verbally or in
writing;
2. Its timing taking into consideration the need to avoid shift changes and holidays;
3. The number of persons to be affected;
4. The need to communicate to the workforce and to provide them with relevant information using clear
and unambiguous language;
5. Arranging for the provision of the necessary training and the provision of competent trainers including
dates and venues;
6. Ensuring that managers and supervisors are made aware of and understand their responsibilities;
7. Introducing procedures for securing feedback from the workforce on the system’s performance which
would then be enable improvements to be made on a continuous basis when these where seen to be
necessary;
8. Making arrangement for the monitoring and periodic review of the system and to introduce any
changes found to be necessary.

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Section B – 10 Marks Question
INTERNAL & EXTERNAL SOURCES OF INFORMATION
1. Jan. 2013 – Q 1 – 10
For a range of internal AND external information sources, outline how EACH source contributes to hazard
identification or risk assessment. (10 marks)

Internal sources of information include:

1. Accident report to identify the cause of accident and cause of injury and the factors contributed to the
accident;
2. Absence record indicates the health problems of the employees;
3. Incident/accident rate reflects the number cases in relation to the number of risks;
4. Maintenance records that shows the damage of arises to a certain plant and/or equipment;
5. Property damage where a cause of undesirable situation arises (e.g. fencing hit by vehicle
movement);
6. Near miss records of incidents cause by lack of safe system of work;
7. Health and safety advisor that provides adequate information;
8. Stakeholders with their concern in the implementation of such system or procedure.

External sources of information include:

1. National governmental agencies such as UK’s HSE, USA’s OSHA and Western Australia that
produce legal and best practice guidance and statistics;
2. International bodies such the ILO, European Safety Agency and World Health Organization;
3. Professional bodies such as IOSH and IIRSM;
4. Trade unions produce a number of information on health and safety matters;
5. Insurance companies who set the levels of premiums and need data to calculate the probable risks of
any venture;
6. Enforcing authorities which sets in accordance with the regulatory requirements (e.g. Code of
Practices, Federal Laws);
7. Manufacturer that gives adequate instruction in the use of particular equipment;
8. Suppliers where a hazardous substances or materials needs to assess prior to use;
9. Emergency services with their protocols in administering emergency cases in the workplace.

FMEA – FAILURE MODE & EFFECT ANALYIS

2. July 2010 – Q4 – 10
(a) Identify the objectives of Failure Mode and Effects Analysis (FMEA). (2 marks)
It is used to analyze a single point component of a system in order to identify the possible causes of its
failure and the effects of the failure as a whole. It could be costly and time consuming process but once
completed and documented as a useful qualitative tool for failure analysis and identifications and can be
used extensively with other hazard identification or risk assessment techniques such as HAZOP and FTA.

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(b) Outline the methodology of FMEA AND give example of a typical safety application. (8 marks)
Methodology of FMEA includes:

1. Breaking down the system into basic component parts and identifying all possible causes of failure of
the component;
2. Assessing the probability of failure and its effects on the system as a whole;
3. Identifying how the failures might be detected for example a petrol engine for a motor car where the
engine comprised of a fuel system, ignition system, cooling system, etc.;
4. Assessing the probability of the failure;
5. Allocating a risk priority code to each component based on severity, the probability of failure and the
effectiveness of detection;
6. Devising actions to reduce the risk to a tolerable level
7. Documenting the results of the exercise in the conventional tabular format.

BOW TIE ANALYSIS (BARRIER MODEL – HAZARD REALIZATION)

3. Jan. 2010 – Q5 – 10
With reference to the illustration below outline hazard and consequences (Bow Tie) analysis (10 marks)

The hazard and consequence (Bow Tie) analysis is a visual method of showing how the hazard(s)
becomes the top event or incident. It shows the barriers in place to prevent progression and the treats to
those barriers or precautions to prevent the top event occurring. The left had side of the illustration
comprises a fault tree or casual analysis as a proactive approach to reduce the likelihood. Ideally the
barrier should be sufficient to prevent the top occurring but it has to be appreciated that controls cannot
always be 100% reliable. The right hand side of the illustration is considered to be an event tree or
consequences analysis and serve as reactive approach to assess mitigation or recovery measures and

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suggests barriers that need to be in place to minimize the consequences of the incident and to aid
recovery.

The Bow Tie analysis depicts (shows) risks in a readily understandable ways to all levels of personnel. It is
structured approach to risk analysis and is used where qualification is not possible or undesirable. It may
also have a use in the investigation of accidents.

JSA – JOB SAFETY ANALYSIS

4. Jan. 2012 – Q4 – 10
(a) Explain the purpose of Job Safety Analysis (2 marks)
The purpose of JSA is to assess the hazards and risks associated with each component of a specific task,
to establish whether adequate precautions are in place in order to reduce the risk of injury, and to produce
a system of work that provides a safe way of performing the task.

(b) Outline the methodology of Job Safety Analysis (8 marks)

Methodology of JSA includes (remember the acronym SREDIM):

1. Select the process to be studied. Priorities are often based on previous accidents, etc.;
2. Record in detail how the job is done, the equipment and materials used any hazards involved. This is
best done by observation and discussion with those ‘job holder’ actually doing the job under review;
3. Evaluate the risk involved in the activity (refer to accident record, etc.);
4. Develop a safe system for carrying out the work. At this stage reference is made to applicable
standard, e.g. legislation, code of practice;
5. Implement the system;
6. Maintain the system (by supervision, etc.) and monitor those who carry out the work to ensure that the
system does not deteriorate.

Section C – Revision Question

HAZARD IDENTIFICATION TECHNIQUES / RISK ASSESSMENT
(a) Outline a range of hazard identification techniques
(b) Explain how to assess and evaluate risk and implement a risk assessment program

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UNIT IA5 – RISK CONTROL

Section A – 20 Marks Question

PERMIT TO WORK SYSTEM
1. July 2009 – Q7 – 20, July 2013 – Q10 – 20
(a) An organization has decided to introduce a permit-to-work system for maintenance and engineering
work at a manufacturing plant which operates continuously over three shifts.

Outline the issues that will need to be addressed in introducing and maintaining an effective permit-to-
work system in these circumstances. (10 marks)
Issues to be addressed include:

1. Arriving at a clear definition of the jobs and areas for which permits will be required;
2. Consideration of the operation of the system where contactors are involved;
3. Developing a permit to work procedure that defines how the system operates;
4. Developing the permit format and multi-copy documentation system to encompass issues such as job
description, hazard identification, specification of the risk control measures, time limits and authorizing,
and receiving and cancellation signatures and the allocation of unique reference number;
5. Arrangement for the return of permits and record keeping;
6. Arrangement for the display of multiple live permits;
7. Arrangement for communication between shifts;
8. Identification of the training needs for, and the delivery of training to, permits authorizing and receiving
permits and those working in areas where permits may be required;
9. Provisions of supporting arrangement and equipment for safe working such as lock-off, isolation or gas
testing facilities;
10. Arrangement for routine monitoring and auditing the effectiveness of the system.
(b) A year after the introduction of the permit-to-work system an audit shows that many permit-to-works
have not been completed correctly or have not been signed back.

Outline possible reasons why the system is not being properly adhered to. (10 marks)
Possible reasons include:

1. Permit issuers and receivers are not competent and have not been adequately trained;
2. There is no routine monitoring or auditing of the system and the level of supervision is poor;
3. There is lack of perceived importance of the system with a production seen as having the greater
importance and violations have become routine;
4. The permit system is seen as too complex and cumbersome (burdensome) and difficult to understand;
5. The potential hazards of maintenance and engineering work are not fully identified or understood and
the required controls are not fully understood by the permit issuer;
6. The difficulties that arise in organizing controls before the start of the work to be carried out
7. Lack of effective communication between shifts and the person responsible for issuing permits is not
always available.

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EMEGENCY PLANNING
2. July 2010 – Q8 – 20
The manufacturing process of a planned new chemical plant will involve toxic and flammable substances.
The plant is near to a residential area.

Outline the issues to be addressed in the development of an emergency plan to minimize the
consequences of any major incident. (20 marks)

1. Initial issues to consider in the development of an emergency plan would be to consider:

- the quantity of toxic and flammable substances involved;
- the possibility of causes of a major incident;
- the like extent of the damage of the area of the plant and the surrounding area which is vulnerable.
Further considerations include:

2. Availability of resources to deal with the incident should it occur and what action would be taken to
minimize its extent by for example shutting off services and controlling spillage and pollution;
3. A clear allocation of responsibilities onsite to deal with the incident, to establish a control centre and to
make arrangements for staff and equipment call out;
4. A decision will have to be made on how the alarm will be raised onsite and in the neighborhood and
this will require liaison with the community and particularly with representatives of the local authority,
the police and the emergency services since while the onsite plan will be prepared by the plant
operator, a second off site plan, which have to be consider amongst other things the provision of
information to nearby residents and the possibility of their evacuation if an incident were to occur, will
be very much responsibility of the local authority;
5. The onsite plan will also need to address the arrangements for clean-up and decontamination after
the event and for dealing with the media;
6. An exercise/drill in the form of ‘mock incident’ involving both workers and residents once the plan has
been develop to test and assess the adequacy of the plan when the real event could occur.

Section B – 10 Marks Question

PERMIT TO WORK / COST BENEFIT ANALYSIS
1. Jan. 2008 – Q3 – 10
(a) A Mixing vessel that contains solvent and product ingredients must be thoroughly cleaned every two
days for process reasons. Cleaning requires an operator to enter the vessel, for which a permit-to-work
is required. During a recent audit of permit records it has been discovered that many permits have not
been completed correctly or have not been signed back.

Outline possible reasons why the permit system is not being followed correctly. (5 marks)
There are many reasons for the failure to adhere to a permit-to-work system include:

1. Lack of competence of both the issuer and the receiver;

2. The level of training and information that has been given to both issuer and receiver;
3. A poor health and safety culture within the organization;
4. Routine violations;
5. Pressure to complete the task and the complexity and impracticability of the system which makes it
difficult to understand;
6. There could have been an inadequate level of supervision;

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 7. A lack of routine monitoring and the non-availability of the permit issuer to activate the ‘sign back’
procedure and cancel the permit once the work had been completed;

(b) A sister company operating the same process has demonstrated that the vessel can cleaned by
installing fixed, high pressure spray equipment inside the vessel which would eliminate the need for
vessel entry. You are keen to adopt this system for safety reasons but the Board has requested a cost-
benefit analysis of the proposal.

Outline the principles of cost-benefit analysis in such circumstances.

(Detailed discussion of individual cost element is not required). (5 marks)

Cost benefit analysis involving adopting changes of the system of installation of fixed, high pressure spray
equipment comparing the likelihood of incident of person entering the confined space vessel. This would be
assuming the total cost of the installation being expensed that includes the capital and ongoing of each
option. Whenever possible, the benefits that would accrue from the use of the proposal system should be
quantified and these would include process efficiency gains, lowering operating costs and reduction in
accidents and cases of ill-health and their associated costs. Once the cost and benefits of the proposal
have been identified, a comparison might be made with those of the system currently in use.

PERMIT TO WORK
2. July 2010 – Q2 – 10, Jan. 2012 – Q6 – 10, Jan. 2014 – Q4 - 10
A maintenance worker was asphyxiated when working in an empty fuel tank. A subsequent investigation
found that the worker have been operating without a permit-to-work.

(a) Outline why permit to work would be considered necessary in these circumstances. (3 marks)
Entering the emptied fuel tank considered as a confined space works and a non-routine high risk task
where it requires extra precautions to be taken since additional hazards might be introduced as the work
progressed and it was, therefore an activity requiring a structural and systematic approach.

(b) Outline the possible reasons why the permit-to-work procedure was not followed on this occasion.
(7 marks)
Possible reasons include:

1. No or an inadequate risk assessment that have been carried out and consequently the potential
hazards had not been identified;
2. There could also have been a poor health and safety culture within the organization where violations
were routine and where a permit to work system was considered to be too bureaucratic and where
complying with the terms of a permit prevents a task being finished quickly particularly when there is a
pressure to complete;
3. Lack of competency of the permit issuer and receiver;
4. Difficulty in organizing the required control measures before starting the work;
5. Inadequacy of the management to establish a permit in such circumstances.

EMERGENCY PLANNING & PROCEDURES

3. Jan. 2009 – Q3 – 10, Jan. 2011 – Q4 - 10
(a) Outline the site operator requirements for emergency planning and procedures within the International
Labour Organization Convention C174 ‘Prevention of Major Industrial Accidents’ 1993. (6 marks)

Under the ILO’s Convention C174 Prevention of Major Industrial Accidents, the site operator is required
to:

1. Identify major hazards and assess their potential outcomes;

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 2. Prepare written site emergency plans and procedures;
3. Draw up emergency medical procedures;
4. Carry out periodic testing and evaluation of the effectiveness of the emergency plans and introduce
any revisions to the plans shown by the evaluation to be necessary;
5. Include reference to the plan to the protection of the public and the environment outside the site
following consultation with the authorities and communities concerned and submit the emergency
plans to the responsible authorities.
(b) As part of the on-site emergency planning process a large manufacturing site intends to provide
information to the external emergency services.

Outline the types of information that the site should be consider providing to the ambulance services.
(4 marks)

Types of information to be provided to the ambulance services include:

1. The location of the site and its various access points;

2. Details of the main hazards on site such as fire, explosion or toxic release;
3. Details of any hazardous chemicals used and stored;
4. The number of personnel onsite both in daytime and at night;
5. Plans showing the layout of the site;
6. Location of any emergency control centre;
7. The identity of contact details of key personnel;
8. Details of the establishment’s medical personnel and facilities;
9. Details of any specific medical conditions of workers and particularly information relating to those
known to be vulnerable;
10. Any other information necessary to enable the ambulance service to carry out risk assessment for
its own personnel.

SAFE SYSTEM OF WORK / PERMIT TO WORK

4. Jan. 2013 – Q2 – 10
A new maintenance activity is being planned.

(a) Describe the components of the safe system of work that should be considered for the maintenance
activity. (8 marks)

Considering an integral safe system of work procedure for the maintenance activity that would be
documented or verbal must be appropriately communicated to the involved personnel that define a safe
method to ensure that hazards are eliminated or minimize the risk. Essential components should be assess
that include materials, equipment, environmental and people.

1. Where materials being used must be inspected to ensure its suitability as per manufacturer’s
instruction such used of chemical should refer to MSDS for the relevant information;
2. For equipment including tools necessary for the maintenance work, ensure it has been check by a
competent person and thereafter must be inspected by a competent person and tagged where
necessary that indicates it is safe to use;
3. Considering the environment such as provision of adequate ventilation system where working is being
covered or restricted by a natural ventilation, thermal issues should also take into consideration,

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 regular housekeeping such keeping floor area free of oil spill to prevent slip hazards including tools
and materials stacking in a designated area;
4. For people, ensure the provision of adequate information, instruction and train personnel in the safe
system of work and the provision of competent supervision that could monitor and ensure all
necessary precautionary measures would be provided;
5. In addition, PPEs required for the task should be provided e.g. gloves and footwear.

(b) Outline two reasons why a permit-to-work may be required for the maintenance activity. (2 marks)
Possible reasons why it requires a permit-to-work would involve a non-routine activity and a certain
hazardous works that needs extra precautionary measures or might be simultaneous activities such as
hot works / welding works.

SELECTING RISK CONTROLS / SAFE SYSTEM OF WORK / PERMIT TO WORK

5. July 2014 – Q5 – 10, Jan. 2015 – 4 – 10
(a) Outline factors to be taken into account when selecting risk controls
Factors to be taken into account when selecting control measures include:

1. Long term and short term objectives of the controls being introduced;
2. Legislative requirements or code of practices relating to the hazards identified and the control
measures that will have to meet as minimum;
3. Applicability and effectiveness including the existing controls and other measures to be adopt;
4. Cost implications and the return on investment or the benefits that may achieve;
5. The competency and additional training requirements of the involved personnel.
(b) Explain the development, main features and operation of safe system of work and permit to work
system
Safe system of work is an essential device in the risk assessment to ensure the work must be done in
logical and methodological manner. This could be done through the systematic examination of the task
followed by identification of all the hazards and to define a safe method to eliminate the hazards or
minimize the risks. The following items need to consider when developing a safe system of work:

- Material
- Equipment
- Environment
- People
A safe system of work could include a verbal instruction, a simple written procedure or to a formal system
such permit to work to document in undertaking a specific procedure designed to protect personnel from
hazardous areas or activities. Essential features of permit-to-work system include:
- Defining the work to be done;
- Demonstrating how to make the area safe;
- Identify any remaining hazards and the precautions to be taken;
- Describe the checks to be carried out before normal work can be resumed;
- Name the person responsible for controlling the job.
In addition, personnel involve in permit-to-work system must be adequately trained including issuer and
receiver and ensures frequent monitoring of the task and the workers and review for any changes that

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requires alternation to the system of work. Where the task found inadequate as per the permit requirements
it must be cancelled and only recommence when precautions are taken into account and implemented.

Section C – Revision Question

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UNIT IA6 – ORGANIZATIONAL FACTORS

Section A – 20 Marks Question

FORMAL AND INFORMAL ORGANIZATION/ORGNAIZATION MODEL/SAFETY CULTURE
1. Jan. 2009 – Q8 – 20; Jan. 2012 – Q8 – 20; Jan. 2014 – Q9 - 20
(a) Organizations are said to have both formal and informal structures and groups. Outline the difference
between ‘formal AND ‘informal’ in this context. (6 marks)
A formal structure or group is hierarchical, general shown in an organizational chart and characterized by
defined responsibilities and agreed reporting lines, while an informal structure is characterized by social
and personal relationships, habitual and related contacts and the presence of strong characters with
personality and communication skills that may exert personal influence.
(b) Internationally recognized health and safety management models, including OHSAS 18001 and
HSG65, include an ‘organizing’ element which requires controls, cooperation, communication and
competence. Outline using practical examples, what cooperation means in this context. (6 marks)
Cooperation could refer to:
1. A formal consultation arrangements such as those with safety representatives, direct consultation
with employees and team meetings and participation in safety committee meetings and also to
informal consultation on safety issues during day to day discussions with employees;
2. Involvement of employees in safety processes such as:
- Carrying out risk assessment and developing system of work;
- Playing their part in incident investigations, inspections, audits and other monitoring process;
- Being encourage to report hazards and “near miss” incidents;
- Being invited to become members of safety circles for problem solving;
- Finally the provision of training and development would be an important factor in minimizing the
involvement of employees in health and safety matters.
(c) Organization change can, if not properly managed, promote a negative health and safety culture.
Outline the reasons for this. (8 marks)
Possible reasons include:
1. The profile of safety may not be maintained during the change and new job responsibilities may not
have fully covered safety issues;
2. Normal consultation mechanisms and routes may disrupted;
3. Training in safety issues for new job-holders or for new responsibilities may not have been completed;
4. The lack of adequate means of communication during the change may compromise trust and poor
consultation on change issues including safety;
5. There may be concern about job security which could encourage risk taking;
6. Redundancy process or cost reduction measures may produce a perception that the organization is
not concerned with personal well-being;
7. Experience or knowledge of risk controls may be lost with changes of personnel;
8. The safety implications of changes in personnel or numbers may not have been assessed;
9. Extensive movement of personnel makes it harder to establish shared perceptions and values;
10. A greater use of outsourcing without good control may result in lower safety standards by
contractors which may affect the perception of priorities;
11. The effects of natural resistance to change.

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CONTROL OF CONTRACTOR
2. July 2009 – Q9 – 20; July 2013 – Q9 - 20
A large warehousing and distribution facility uses contractors for many its maintenance activities.
Contractors make up approximately 5% of the total workforce but an analysis of the accident statistics for
the previous two years has shown that accidents to contract personnel, or arising from work undertaken by
contractors, account for 20% of the lost time accident onsite.

(a) Assuming that the accident statistics are correctly recorded, outline possible reasons for the
disproportionate number of accidents involving contract work. (6 marks)
Possible reasons include:
1. Nature of the work – for instance, maintenance work might be more complex, higher risk, harder to
control satisfactorily and with fewer well-established work methods than other warehousing and
distribution activities;
2. A lack of established procedures and training for the management of third parties including inadequate
contractor selection and the provision of information from the client to the contract workers;
3. Poor planning and risk assessment and poor communication and coordination the between parties
affected by the contact work;
4. Inadequate supervision of the contractor workers either by the client or the contractor;
5. Staff turnover or lack of contract worker competence and the effect of contractual or financial
pressures on the contractor.

(b) Describe the organizational and procedural measures that should be in place to provide effective
control of the risk from contract work. (14 marks)
Organizational and procedural measures could have included:
1. The selection of a competent contractor by obtaining evidence of past performance, safety
management arrangements, the adequacy of resources and risk control proposals;
2. The provision of adequate information to the contractor prior to work starting, on the nature work to be
carried out and the known hazards and site safety rules with an induction briefing to be given to all
contact personnel before admittance to site;
3. The preparation of job specific risk assessments and method statements;
4. The appointment of a client representative with contractor management responsibility including
communication arrangements;
5. The introduction of arrangements for coordinating and reviewing risk assessments and method
statements, for active and reactive monitoring of the performance and for job completion and handover
including a safety performance review.

ORGANIZATIONAL CHANGE
3. Jan. 2010 – Q11 – 20; July 2012 – Q11 - 20
The management of an organization intends to introduce new, safer working procedures but the workers
area resisting this change.

(a) Outline the practical measures the organization could take to communicate effectively when managing
this change. (10 marks)
Practical measure that could be considered includes:
1. The provisions of regular and frequent newsletters or memos using a language and technical content
which is clear and easily understood;
2. Holding regular meetings between management and the workforce such as team briefings and
toolbox talks;

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 3. Providing the opportunity for regular meetings between the workforce and their safety delegates;
4. Placing notice boards at various locations on the site and ensuring that they display relevant
information and updated at regular intervals;
5. Introducing team building activities and staff suggestion schemes;
6. Providing accident and incident data to all workers.

(b) Outline the additional steps the management could take to gain the support and commitment of
workers when managing this change. (10 marks)
Additional steps could include:
1. Finding out the reasons for the resistance whether fear of redundancy, de-skilling or simple a dislike
of what is being suggested;
2. Consulting with workforce and others affected such as in meetings of the safety committee where
there should be equal representation of management and workers;
3. Using a progressive or step-wise change process and using pilot trials;
4. Setting out clearly reasons for, and the benefits of, the proposed changes and affording the workers
the opportunity to comment on and contribute to the change;
5. Providing training to support those affected and ensuring that managers demonstrate personal
commitment to the changes.

SAFETY CULTURE/ROLE OF AN ORGANIZATION

4. Jan. 2011 – Q11 – 20
(a) Give the meaning of the term ‘health and safety culture’. (2 marks)
Health and safety culture means a shared perceptions, beliefs, attitudes and behavior patterns and
values that members of an organization have in the area of health and safety.
(b) Outline the role of an organization in the development of a positive health and safety culture. (12
marks)
An important role for the organization would be to consider:
1. To demonstrate leadership and commitment from the top which would include the development
and implementation of a health and safety policy, identifying and allocating key health and safety
responsibilities and ensuring both that adequate resources are provided for health and safety but that
also it is given the same importance as other objectives such production and quality.
2. This should then lead to the completion of the necessary risk assessments, the introduction of safe
system of work and the provision of training to the workforce. During this process the communication
and consultation with the workforce will be of paramount importance;
3. Once the system are in place, it will be imperative that their effectiveness is monitored on a regular
basis and that any deficiencies are seen to be rectified in as short time as practicable.

(c) Identify ways of measuring the effectiveness of a health and safety culture. (6 marks)
Some ways of measuring the effectiveness includes:
1. Through the assessment of records such as those of accidents and/or incidents together with the
findings of any investigations that were carried out;
2. Cases of ill-health;
3. Staff turnover and sickness absenteeism;
4. The effectiveness of communication with the workforce and any complaints received on the subject
working conditions;

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 5. Use of surveys, value questionnaires on the subject health and safety, appraisal interviews and/or
simply by observing the behavior and commitment of the workforce.

SELECTION AND CONTROL OF CONTRACTOR

5. July 2012 – Q10 – 20
An extensive repair work is needed to the roof of the main production area of a large factory. The factory is
to remain fully operational.

(a) Identify the criteria that might be used when selecting a contractor for the work to ensure they have the
necessary competence in health and safety. (8 marks)
Criteria for selecting of contractors include:
1. The contractor’s previous experience with the type of work to be carried out;
2. Reputation amongst previous or current clients and membership of a trade organization;
3. The content and quality 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;
4. The competence of and level of health and safety training given to employees;
5. Resources and the condition of equipment to be used on site and procedures in place for its regular
maintenance; procedures for the selection and control of sub-contractors;
6. Accident record and any action taken by the enforcing authorities;
7. Equipment maintenance & statutory examination records;
8. Availability of safety representative that could be able to provide competent advice on health and
safety;
9. The detailed proposals, such as method statements and safe systems of work, for the work to be
carried out.
10. Membership of accreditation or certification bodies.

(b) Identify ways in which the factory management should control the work of the contractor to ensure that
the risks to factory workers are minimized. (12 marks)
Risk controls to contractor include:
1. Ensure contractor competent by checking their experience, training, safety policy;
2. A kick off meeting prior to the commencement of the activity to highlight the necessary safety aspect
of the work and further arrangement for a regular progress meeting;
3. Contractor must provide a detailed sequence of the activity through method statement including a
specific risk assessment.
4. Inform contractor of hazards and site safety rules within the factory;
5. Inform employees of contractors work, restrict factory workers in close proximity of the activity area;
6. Frequently monitoring and supervision both from the contractor and factory representative;
7. Ensure contractors activities do not endanger factory workers e.g. proper storage area for any
hazardous substances
8. Coordinate activities and limit access to the contractor workers within the factory premises;
9. Monitor contractors activities including the regular inspection while activity in progress and reporting
any occurrence of accident/incident for necessary corrective actions aiming to prevent recurrence;

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 10. Ensure all machinery and equipment brought inside the factory has been inspected by a competent
person for safe operation;
11. Maintain good housekeeping and ensure accumulated waste should be immediately removed;
12. Ensure contractor conducts adequate safety training programme to all workers;
13. Factory management team must set a good example to the contractor by following all site rules.

Section B – 10 Marks Question

EXTERNAL INFORMATION
1. Jan. 2008 – Q4 – 10; Jan. 2012 – Q3 - 10
Outline range of external individuals and bodies to whom, for legal and good practice reasons, an
organization may need to provide health and safety information, In EACH case, indicate the broad type of
information to be provided. (10 marks)

External individuals and bodies that could provide with information for legal reasons include:
1. Enforcing authorities with respect to information required by law or in accordance with the ILO Code
of Practice or as part of inspection or investigation activities;
2. Emergency services on the inventories of potentially hazardous/flammable materials used or stored
on the site and on the means of access and egress to the site;
3. Customers who have to be given health and safety information on articles and substances they might
use for work activities;
4. Members of the public concerning information on emergency action plans for major hazards;
5. Visiting contractors who need to be advised on safe working arrangements and procedures;
6. Waste disposal contractors who should be given information on controlled or hazardous waste
produced by the organization;
7. Transport companies who should be given information on the precautions to be taken in transporting
hazardous substances from the organization’s site;
8. Legal representative or courts who would have to be given information regarding civil claims;
9. Trade associations and trade unions on performance and social responsibilities;
10. Insurance companies on the safety management systems in place;
11. Shareholders on the organization’s level of performance as far as health and safety were
concerned.

CONSULTATION/FORMAL AND INFORMAL

2. Jan. 2008 – Q5 – 10; July 2010 – Q4 – 10;

(a) Outline the reasons for establishing effective consultation arrangements with employees concerning
health and safety matters (4 marks)
Reasons for establishing effective consultation arrangements include:
1. Development of ownership of safety measures amongst employees;
2. Improving perception about the value and importance of health and safety;
3. Gaining the input of employee knowledge to ensure more workable improvements and solutions;
4. Encouraging the submission of improvement ideas by employees.

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 (b) Outline the range of formal and informal arrangement that may contribute to effective consultation on
health and safety matters in the workplace. (6 marks)
Formal arrangements for effective consultations include the establishment of safety committees and
consultation involving workers’ representative. Planned direct consultation at department meetings, team
briefing or similar were considering as informal consultation arrangement. Others include:
- Consultation as part of accident/incident investigation or as part of the completion of risk
assessment;
- Day to day informal consultation by supervisors with employees at the workplace;
- Toolbox talk prior to initiate a certain activity;
- Use of departmental/team meeting for ad-hoc consultation on safety issues;
- Discussion as part of safety circles or improvement groups;
- Use of staff appraisals, questionnaires and suggestion schemes.

SAFETY REPRSENTATIVE – STRENGHT AND WEAKNESSES

3. July 2008 – Q3 – 10
Describe the possible strengths and weaknesses of the role of the employee representative in improving
workplace health and safety standards and culture for the groups of employees that they represent. (10
marks)

Possible strengths include:

1. Ensuring that employee concerns which might otherwise remain unknown, are brought to the attention
of management (and if necessary to an inspector from the enforcing authority), and applying pressure
to ensure that the action promised to improve working conditions was taken;
2. Ensuring employee involvement in and commitment to good health and safety practices;
3. Encouraging and supporting active monitoring by exercising the entitlement to carry out inspections of
the workplace and ensuring employee input during the investigation of accidents and incidents;
4. Acting as a champion for health and safety and so promoting awareness and interest and encouraging
employee input on proposals affecting health and safety.
Whereas weaknesses of safety representative could include:

1. Less direct engagement and consultation by management with the workforce on health and safety
issues;
2. The investigate role could lead to a focusing on compensation claims rather than on the introduction on
control measures to prevent a recurrence and there is a danger that health and safety issues might be
mixed up and confused with other employment relation issues;
3. A representative who has not received appropriate training may fail to establish correct priorities and
cause resources to be wasted while one who is ineffective or unmotivated may undermine the existing
safety culture of the organization by failing to represent the views and opinions of employees.

SAFETY CULTURE/ORGANIZATIONAL ISSUES - BARRIERS

4. Jan. 2010 – Q4 – 10; Jan. 2013 – Q4 – 10
(a) Give the meaning of the term ‘safety culture’ (2 marks)
Safety culture means a shared perceptions, beliefs, attitudes and behavior patterns and values that
members of an organization have in the area of health and safety.

(b) Outline a range of organizational issues that may act as barriers to the improvement of the safety
culture of an organization. (8 marks)

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Organizational issues that could act as a barriers such as:

1. Lack of senior management commitment;

2. A failure to allocate adequate resources to support improvement;
3. The absence of effective means of communication with workers to secure their involvement;
4. A lack of trust and confidence in management by the workforce;
5. High staff turnover making cultural improvement difficult to embed;
6. A history of poor industrial relations;
7. The existence of blame culture;
8. Workforce cultural issues such as race and language and the lack of positive decision making by
management on the level of priority accorded to health and safety leading to uncertainty among the
workforce.

ORGANIZATION AS A SYSTEM/RISK CONTROL

5. July 2010 – Q1 – 10; Jan. 2014 – Q2 - 10
(a) Outline the concept of the organization as a system. (4 marks)
Organization as a system is a comprised of a number of interlinked components which could be
identified as inputs, such a design, procurement, recruitment of personnel, and information; processes for
example operations both routine and non-routine, plant and maintenance and outputs such as products,
packaging and transport. The system as a whole – organization – would need to interact with the
environment in responding to matters such as the current markets and client needs and would need to be
subjected to monitoring procedures and react to any changes found to be necessary.

(b) Identify suitable risk controls at EACH point within the system AND give example in EACH case. (6
marks)
Risk control for each component could include:

1. For inputs, this would involve controlling the quality of physical resources such as managing the
supply chain and ensuring conformance with set standards;
2. Human resources by adopting strict recruitment standards designed to ensure competence in those
who were invited to join the organization and information by ensuring it is always up to date, relevant
and comprehensible;
3. Control of the process and work activities would be concerned with premises, plant, procedures
and people and would, by the use of risk assessment, involve in the application hierarchical measures
such as risk avoidance, risk reduction, risk transfer, risk retention and behavior safety;
4. The controls of output would be concerned with products and services and would be address matters
such as waste management, product and liability insurance, contractual obligations and costumer
aftercare.

CONSULTATION OF WORKERS - RECOMMENDATIONS

6. July 2011 – Q3 – 10
A multi-site organization has recently been audited. This has highlighted deficiencies in worker involvement
in health and safety matters.

Outline recommendations to assist the employer to effectively consult with the workers on health and safety
matters. (10 marks)

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A series of recommendations could include:

1. Arranging for safety representatives to be assigned for each site, by election if required, and
protecting them from dismissal or other measures prejudicial to them;
2. Ensuring that the safety representatives have access to appropriate resources to fulfill their
functions and have time off their normal duties for training;
3. Setting up a formal safety committee, to meet on a regular basis to set agenda and ensuring that the
minutes of the meetings are circulated throughout the organization;
4. Providing adequate information to the workforce on health and safety and consulting them when
alterations to work processes are planned which will have health and safety implications;
5. Allowing access to representatives to all parts of the site to carry out inspections and arranging for
them to meet representatives of the enforcing authority when they pay a visit to the site;
6. Ensuring there is a visible interest by management in health and safety matters with a readiness to
have consultations on a formal basis with all workers;
7. Setting up individual appraisal system where health and safety concerns will be discussed on a part
with other relevant issues.

CONSULTATION PROGRAMME DEVELOPMENT – FORMAL & INFORMAL

7. July 2013 – Q5 – 10
(a) Outline the factors that would influence the development of a worker consultation programme. (6
marks)
Factors include:

1. Delegation of safety representative that have direct access to the management for safety aspects;
2. A positive safety culture showing commitment by the top management and set as a good example in
complying safety rules;
3. Effective communication arrangements such as frequent meeting with workers such as toolbox talk
or team briefing, posting relevant information in the notice boards for the health and safety
improvement;
4. A provision of competent supervision and giving advice to the workers for such system of work;
5. Providing adequate information in all health and safety matters;
6. Understanding health and safety roles and responsibilities throughout the organization;
7. Provision of adequate training arrangements to the workers including workers’ representative.

(b) Outline TWO formal methods of consulting with the workforce. (2 marks)
Formal arrangements for consulting with the workforce include the establishment of safety committees
and consultation involving workers’ representative.

(c) Outline TWO informal methods of consulting with the workforce. (2 marks)
Informal consulting with the workforce includes direct consultation at department meeting and team
briefings and others include:

- Consultation as part of accident/incident investigation or as part of the completion of risk

assessment;
- Day to day informal consultation by supervisors with employees at the workplace;
- Toolbox talk prior to initiate a certain activity;

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 - Use of departmental/team meeting for ad-hoc consultation on safety issues;
- Discussion as part of safety circles or improvement groups;
- Use of staff appraisals, questionnaires and suggestion schemes.

EFFECTIVE CONSULTATION
8. July 2013 – Q5 – 10
Explain the role, influences on and procedures for formal and informal consultation with workers in the
workplace. (10 marks)

Consultation is robust key factor of having a successful safety management system, it involves
communication in the workforce taking into account that they are committed in every essential element of
system which should have the cooperation from the management representatives. Through consultation
(e.g. involving in decision making and risk assessment), workers are being motivated in promoting a
positive health and safety culture. Whereas lack of consultation arrangements, workers are unaware of
the potential hazards and might not be notice of the imminent danger and could incur an accident to be
happen.

Delegation of a workers’ representative on health and safety as formal consultation which constantly
coordinates with the management for any information such as on measures taken for the improvement of
health and safety in the workplace. Both workers and their representative should have appropriate training
in occupational health and safety. The representative must actively involve in preventing workers’ being
expose to a particular hazards associated with their activities and could be able to contribute in the decision
making process or negotiation. Development of a safety committee involving the safety representative
would also consider a formal consultation process. This is being done through regular meetings between
management and employees or their representative to discuss such health and safety concerns and
recommendations. This includes issues arises from the workplace including complaints, development of
health and safety training program, legal verification arrangement including policies and procedures and
other ways for promoting positive health and safety culture including recognition and incentive schemes.

Informal consultation which could consider more effective rather than formal consultation as a direct form
of communication between individuals in the workplace. This could be done through toolbox talk or team
or pre-start briefing prior to start the activity, discussion during the workplace inspection, risk assessment
communication, induction training and safety circles for a small group of workers to discuss issues of
mutual interest.

SAFETY CULTURE AND CLIMATE

9. Jan. 2015 – Q2 - 10
(a) Explain health and safety culture and climate
Health and safety culture consider as a system of shared values and beliefs about the importance of
health and safety within the organization. Whereas, safety climate is a measuring tool to identify the true
indication of the status of safety within the organization such as through perception or attitude surveys
highlighting areas of strengths and weaknesses, leading to the development to improve the safety culture.

(b) Outline the factors which can both positively and negatively affect health and safety culture and climate
A positive health and safety culture can be promoted by various factors such as:

1. Management commitment and leadership showing initiative for complying safety rules and
procedures;
2. A high business profile for considering safety as integral part of the business;
3. Provision of information such as distributing leaflets and circulation of important safety matters;

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 4. Involvement and consultation through workers’ representative e.g. during risk assessment process,
accident and incident investigation and safety committee meeting;
5. Training to provide adequate competency in performing the job safely;
6. Promotion of ownership such taking their opinion for any introduction of any control measure into the
workplace;
7. Setting of targets that should be achievable and once targets is met, an incentives or rewards
program will be introduce to motivates individuals into positive safety culture.

A negative health and safety culture can also be affected in various factors, such as:
1. Organizational change e.g. company reorganization through merger with other organization,
redundancies, relocation of business, downsizing and external pressure where the organization has no
power;
2. Lack of confidence in an organization’s objectives and methods such as safety was undermine by
production;
3. Uncertainty where an individual within organization had lack of interest in the job or generates feeling
of insecurity;
4. Inconsistent management decision that prejudice mutual trust form the subordinates e.g. conflicting
goals between management and workers, delays in decision making or lack of consultation in the
decision making.

A change in attitudes towards health and safety culture and climate change can be achieved by:
1. Planning and communication for any propose changes within the organization;
2. A strong leadership and introducing using a gradual approach by management at all levels;
3. Action to promote changes that could be direct or indirect;
4. Strong worker engagement for the workers having commitment to recognize the need for change;
5. Ownership at all levels that must engage in the process and be committed to change;
6. Training and performance measurements including information for the new or impending safety
legislations and encouragement of workers in the involvement of high standard health and safety
performance.

Section C – Revision Question

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UNIT IA7 – HUMAN FACTORS

Section A – 20 Marks Question

HUMAN ERROR – HUMAN RELIABILITY
1. Jan. 2008 – Q8 – 20; Jan 2013 – Q8 - 20
(a) Outline the meaning and relevance of the following terms in the context of controlling human error in
the workplace.
(i) ‘ergonomics’ (2 marks)
The design of equipment, the task and working environment taking into account that that it would fit
between people and the things they use. Essentially it involves ‘fitting the task to the man’ rather than
‘fitting the man to the task’.
(ii) ‘anthropometry’ (2 marks)
The collection of data on human physical dimensions and its application to equipment design, considering
his/her size, shape and range of joint movements.
(iii) ‘task analysis’ (2 marks)
The process that identifies and examines tasks performed by humans as they interact with systems. By
breaking down of task into successive more detailed actions and the analysis of the scope for human error
with each action.
(b) Excluding ergonomics issues, outline ways in which human reliability in the workplace may be
improved. In your answer consider ‘individual’, ‘job’ and organizational’ issues. (14 marks)
Human reliability plays a significant role in health and safety in the workplace, three essential factors to
consider that includes the individual, job factor and organizational issues.
1. As far as individual is concerned, this would involve:
- Careful selection taking into account skills, qualifications and aptitude;
- The provision of appropriate training both at the induction stage and to meet subsequent job specific
needs;
- The consideration of special needs of those who maybe more vulnerable;
- Monitoring safety personal performance;
- Using workplace incentives schemes and assessing job satisfaction and providing health
surveillance and counselling service for those recognized as suffering from the effects of stress.
2. Issues concerned with job include:
- Introduction of task analysis for critical task;
- The design of the work patterns and shift organization to minimize stress and fatigue;
- The use of job rotation to counter monotony (dullness or boredom);
- The introduction of good communication arrangements between individuals;
- Shifts and groups using a sufficient number of personnel to avoid constant time pressure.
3. Issues connected with the organization include:
- Development of a positive health and safety culture;
- The provision of good leadership example and commitment;
- The introduction of effective health and safety management system and maximizing employee
involvement in health and safety issues;
- Ensuring effective arrangements for employee consultation;
- The introduction of procedures for change management and the provision of an adequate level of
supervision

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COMPONENT FAILURE
2. July 2008 – Q8 – 20; Jan. 2010 – Q3 – 10; July 2011 – Q4 - 10
(a) A production process has a safety critical system that depends on a single component to remain
effective. Outline ways of reducing the likelihood of failure of this component AND describe additional
ways to increase the reliability of the system. (16 marks)
Ways of reducing the likelihood of failure of the single component includes:
1. Burning in the component before placing it correctly in the system;
2. Planned replacement of the component before wear out;
3. Increasing its useful life by a planned programme of maintenance;
4. The initial design of and material specification for the component together with the use of quality
assurance
The reliability of the system might be increased by:
1. The use of parallel components and standby systems and parallel redundancy;
2. Operational and detection protective systems to maintain the system within its design specification;
3. The use of hazard analysis techniques to predict failure routes;
4. The use of more reliable components to minimize failures to danger and the monitoring, collection and
use of failure data

(b) Describe the meaning of ‘common mode failure’ AND outline equipment design features which could
help to minimize the probability of such failures. (4 marks)
Common mode failure might be described as a type or cause of failure that could affect more than one
component at a time, even when the components are supposed to be arranged to operate independently of
each other. It is particularly relevant for components in parallel design to improve reliability of a system by
redundancy. Measures that could be taken to help minimize the probability of this type of failure include:
- functional diversity where reliance is placed on safety components design to act by different
mechanism, for example one detector for pressure and one detector for temperature, and one
hydraulic interlock and one electrical interlock;
- equipment diversity where components are sourced from different manufacturing process to avoid
common manufacturing defects and vulnerabilities;
- Isolating components from each other and from the environment so that they do not fail from
common causes such as high temperature or vibration;
- routing cables by multiple routes so that the local physical damage does not affect all components
using well known and established equipment designs where most of the failure modes will have been
understood.

REDUCING HUMAN ERROR – DESIGN FEATURES OF CONTROL & DISPLAY

3. July 2008 – Q11 - 20
Outline the desirable design features of controls AND displays on a control panel for a complex industrial
process aimed at reducing the likelihood of human error. (20 marks)

Desirable design features of controls include:

- Keeping their number to a minimum whilst ensuring sufficient number to control the state of
operation.
- A change of system should only occur after operating a control and should require a positive action
of the control with immediate feedback to the user.
- A system restart should again only occur after operating a control after a deliberate or non-
intentional stop.
- A stop function should be easy to activate and override start and adjust controls.

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 - All controls should be visible, positioned and ordered logically so as to follow the process and be
within easy reach of the operator while labelling, shape or color can be to effective use to ensure
controls are easily identified.
- The type of control should be appropriate to the degree of control required, for example a lever
maybe more appropriate than a knob.
- Recognized conventions should be followed such as up for off, green for on and clockwise to
increase.
- Controls positioned next to their respective displays are also desirable.
Display should be:
- Clearly visible and labelled and show steady state.
- They should also clearly indicate change, match expectations and attract the appropriate sense such
flashing to draw visual attention.
- It is important to use the appropriate type of display for the reading i.e. analogue or digital, and
ensure that all dials are in a similar position for “normal” operation.
- Marking on dials and the application of different colours can be used to indicate abnormal
situations.
- Additional design features include shielding bulb from strong ambient light, shielding glass dials
from glare and placing display against a panel of neutral colour.
- Display should be kept to a minimum and safety critical displays should be separated from other
displays.

HUMAN ERROR – SKILL BASED, RULE BASED & KNOWLEDGE BASED BEHAVIOUR
4. Jan. 2011 – Q10 - 20
(a) Outline the meaning of ‘skill based’, ‘rule based’ AND ‘knowledge based’ behavior. (6 marks)
Skill based behavior involves a low level, pre-programmed sequence of actions where workers carry out
routine operations, often as they were on ‘automatic pilot’.
Rule based behavior involves actions based on recognizing patterns or situations and then selecting
actions based on a learned set of rules.
Knowledge-based behavior is involved at the higher problem solving level, when there are no set rules
and a decision on the appropriate action to be taken is based on knowledge of the system.

(b) With reference to practical examples or actual incidents, explain how EACH of these types of operating
behavior can cause human error AND, in EACH case, explain human error can be prevented. (14
marks)
In the case of ‘skill based’ behavior, error may arise if a similar routine is incorrectly selected, if there is
interruption or inattention causing a stage in the operation to be omitted or repeated or if checks are not
carried out to verify that the correct routine has been selected. Preventive measures would be directed at:
- designing routines and control so they are distinct from each other;
- using feedback signals to warn when the wrong course of action is being taken;
- allowing adequate work breaks or job rotation to maintain attention;
- introducing training, competence assessment;
- provision of high level of supervision
Signals passes at danger on the railway are often a result of skill-based errors while incidents that could
have been quoted include Bhopal, Seveso and Chernobyl.

As for ‘rule-based’ behavior, errors may occur where, for example, the diagnosis is based only on the
previous experience or where sufficient training has not been given to enable workers to make accurate
diagnostics, where there is a tendency to apply the usual rule or solution even if it is inappropriate or where
simply there is a failure to remember the rule that should be applied. Preventive measures include:
- clear presentations of information;

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 - simple and easy to follow rule sets;
- system designed to highlight infrequent or unusual event;
- provision of training and competence assessment.
Example of incidents could include the Kegworth air crash, Piper Alpha or Three Mile Island.
In the case of ‘knowledge-base’ behavior, errors will occur if there is lack of knowledge or inadequate
understanding of the system, if there is insufficient time to carry out a proper diagnosis and if the problem is
not properly thought through or evidence is ignored. Preventive measures would again involve:
- training particularly in risk and hazard assessment;
- the provision of adequate resources in terms of information and time;
- use of supervision and checking system such as group or peer review.
Example of incidents include Flixborough and Port Ramsgate

HUMAN RELIABILITY
5. July 2014 – Q10 - 20
Explain how job factors could contribute to improving human reliability. (20 marks)

There were a lot of job factors that could take into consideration to improve human reliability in the
workplace or reducing the probability of human errors that are very likely causing accidents. This is
ensuring appropriate ergonomic design that fits between people and the things are use including
equipment, the task and working environment, for example, a crane operator that is reliant inside the cab of
the new panel of the operating system of the machine (controls, displays and switches), he must undergo
specialized training to familiar everything prior to actual operation of the machine, the task which includes
the procedures for lifting such materials that he must familiar safe working load and other significant safe
work practices, working environment such ambient temperature inside the cab that need to ensure
appropriate ventilation system including task lighting arrangement if work would be at night to avoid such
stressor effect from blurred vision.
Improving level of satisfaction and mental well-being by involving in more participation in a decision
making process such in view of the risk assessment that employee and their representative should be
consulted of their concern with the recommended safe working procedures that they could be able to adopt.
Through this procedure employee could feel that they are belong to the organization and can lead a higher
level of job satisfaction and lower absenteeism and turnover. In addition, giving and amount and quality of
social interaction with co-workers or circle group in relevant to the activities and the need to pay close
attention to a task that need to diagnose and solve the problem.
Appropriate job design such avoiding task complexity to a person that is not being capable of suffering
difficulties due to lack of competency; avoiding workload; proper job rotation arrangement where it needs
adequate number of people to carry out a particular job; proper management of payment system work, for
example a tipper truck driver delivered backfilling materials in a construction site that has to be paid by a
trip system (i.e. the more trip he completed, the more he could be benefited),they should consider their own
safety is paramount because if they involve accident and injured, they won’t be able to work and they won’t
get paid.
Writing procedures especially operating and maintenance procedures are important for preventing of
accidents and ill-health that has a detailed relevant information in maintaining the consistency and ensuring
all employees are aware of every pieces of information in the procedures including their roles and
responsibilities and essential guiding principles.
Circulating relevant information through HSE alerts and newsletters and ensuring management and key
personnel are aware on relevant legislative requirements and standards.

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Section B – 10 Marks Question
ATTITUDE/MEDDIA INFLUENCE
1. Jan. 2008 – Q1 – 10; Jan. 2012 – Q2 - 10
(a) In relation to workplace behavior outline what is meant by the term ‘attitude’ (2 marks)
Attitude - as a predisposition to act in a certain way which may be determined by ancestry, personal
experience or training

(b) Outline how the media can influence attitudes towards health and safety, making reference to
suitable examples where appropriate. (8 marks)
The media can and have influenced attitudes towards health and safety such as:
1. They have the facility to undertake a global coverage of events and can reach a wide audience using a
variety of methods of delivery such as prints, television, videos and the internet;
2. The coverage is often sensationalist and can be influenced on occasions by pressure groups and
other bodies such as Greenpeace;
3. The influence exerted by the media may be advantageous or detrimental (damaging) for the industry
or organization involved particularly those who have media coverage which can affect the perceptions
of costumers, clients and other stakeholders.
Note: Provide an example of incident that has a media coverage e.g. Bhopal disaster, Piper Alpha

HUMAN FAILURE
2. Jan. 2008 – Q2 – 10; Jan. 2010 – Q2 – 10; July 2012 – Q5 - 10
An employee has been seriously injured after being struck by material transported using an overhead
crane.

Using the categorization of human failure published in the Health and Safety Executive (HSE) ‘Reducing
error and influencing behavior’ (HSG 48) guidance, give example of the human failure that contributed to
the accident. (10 marks)

Human failures have contributed the accident include:

1. Skill-based behavior involves a low level, pre-programmed sequence of actions where employees
carry out routine operations;
2. Errors (human failure) may arise if a similar routine is incorrectly selected, if there is interruption or
inattention causing a stage in the operation to be omitted or repeated or if checks are not carried out to
verify that the correct routine has been selected;
3. Errors (slips and lapses) that may have contributed to the accident include the operation by the
crane driver of the wrong switch or control or commencing the lifting operation out of sequence when
workers were not prepared;
4. Rule-based behavior (mistakes) involves actions based on recognizing patterns or situations and
then selecting and applying the appropriate rule set. An error (mistakes) would involve the application
of the wrong rule for example the driver lifting instead of lowering or the worker crossing the path of the
lifting operation.
5. Knowledge-based behavior on the hand is involved at the higher problem solving level, where there
is no set rules and is based on having knowledge of the system. Errors will consequently occur if there
is a lack of knowledge or inadequate understanding of the system. It might be the driver have had little
experience of the type of lifting operation being carried out and was carrying the load at the wrong
height while the injured person may have been unaware that a lifting operation was taking place.

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POOR SAFETY CULTURE/ VIOLATION
3. July 2008 – Q4 – 10
A poor organization safety culture is said to lead to higher levels of violation by employees.

(a) Explain the meaning of the term ‘violation’ and the classification of violation as ‘routine’, ‘situational’,
or ‘exceptional’. (6 marks)
Violation is any deliberate deviation from rule, procedure, instruction or regulation.
Routine violation involves continual breaking a rule or procedure to the extent that is becomes normal way
of working within the work group. This can be due to:
- The perception that the rules are too restrictive;
- The desire to cut corners to save time and energy;
- The belief that the rules no longer applies;
- Lack of enforcement of the rule;
- New workers starting a job where routine violations are the norm (standard) and not releasing that is
not the correct way of working.
Situational violation is breaking the rules due to pressures from the job such as being under time
pressure, insufficient staff or workload, adverse conditions or because the right equipment for the job is not
available.
Exceptional violations are rarely happen and only then when something has gone wrong and taking a risk
to solve the problem urgently.

(b) Outline the reasons why a poor safety culture might lead to higher levels of violation by employees.
(4 marks)
Considering the concept of safety culture as the shared beliefs and perception of employee, lack of a
shared perception about the importance of safety could lead to individual employees violating a rule or
procedure because they are driven by their own perception of what it is really important or they may be
influenced by peer pressure. A negative perception that rules are not important – booth prime factors of a
poor safety culture – could lead to higher levels of violation.

INFLUENCING BEHAVIOUR
4. July 2010 – Q4 – 10
Outline a range of factors relating to the individual which influence behavior in the workplace AND give an
example in EACH case. (10 marks)

Factors relating to an individual that might influence his/her behavior in the workplace include:
1. Motivation;
2. Personality involving individual traits and preferences;
3. Social and cultural background which brought up teaches acceptable and unacceptable behavior;
4. Aptitude perhaps involving innate (distinctive) skills such as the position of special awareness;
5. Experience, education and intelligence;

6. Training involving the development of cognitive and physical skills;

7. Perception of risk and disability

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MOTIVATION
5. Jan. 2011 – Q6 – 10; July 2013 – Q6 - 10
(a) Give the meaning of the term ‘motivation’. (2 marks)
Motivation is a driving force or a factors that an individual to behave in a certain way and to do something
willingly.
(b) Outline, with example in EACH case, how workers can be motivated to behave in positive way. (8
marks)
A prime factor in motivating workers to behave in positive way is the demonstration of management for
a visible commitment and lead by example, involve and communicate with the workers and give them
praise, recognition and encouragement where there is appropriate. Other motivational factors include:
- Job satisfaction where sufficient time is allowed to carry out a particular activity;
- Availability of adequate resources such as the provision of the right equipment for the working
environment;
- Provision of appropriate welfare facilities is a good standard;
- Having a positive peer pressure to attain a certain goals;
- Rewards and incentive schemes
- Safety campaigns where an individuals are inclined to react more positively when they are told what
particular desired behavior is expected of them and when this facilitated in such a way as to make it
easy to attain.
- Finally, in certain cases, discipline may prove to be powerful motivational tool.

PERCEPTION
6. July 2011 – Q1 – 10
‘Perception’ may be defined as the process by which people interpret information that they take in through
their senses.

Outline a range of factors that may affect how people perceive hazards in the workplace. (10 marks)

There are many factors that can affect the way that hazards are perceived in the workplace such as:
1. Sensory impairment or health status;
2. Intelligence and/or mental capability;
3. The effect of drugs or alcohol;
4. Inattention or boredom;
5. The nature of the hazard which may not be detectable;
6. Environmental factors that may distract or confuse such as noise or poor lighting;
7. Interference by the use of personal protective equipment;
8. The effect of inadequate or ambiguous information and training;
9. The presence or absence of previous experience of, or exposure to the hazard;
10. The effect of expectation following exposure to similar situations;
11. Sensory overload, work pressures, stress and fatigue and the pressure exerted by peer groups.

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HUMAN ERRORS – JOB FACTORS
7. July 2013 – Q3 – 10
Train drivers may spend long periods of time in the cab of a train and may, as a result, experience loss of
alertness. This can increase the risk of human error.

Outline a range of measures that could reduce loss of alertness in train drivers. (10 marks)

Measures required to reduce the potential loss of alertness in drivers include:

1. Reducing the time of the train driver by increasing or provision of sufficient number of personnel for the
operation;
2. Allowing adequate work breaks or job rotation in the cab of the train to maintain attention;
3. Introducing appropriate shift work to allow sufficient rest breaks, sleep and relaxation;
4. Introducing training and competence assessment;
5. Provision of constant communication from the control centre;
6. Where a train driver aged 40 above should had regular health checks

Section C – Revision Question

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UNIT IA8 – REGULATING HEALTH AND SAFETY

Section A – 20 Marks Question

ILO / SELF REGULATION / ROLE OF LEGISLATION
1. July 2008 – Q9 – 20; Jan 2009 – Q10 – 20; Jan. 2011 – Q9 – 20; July 2013 – Q7 - 20
(a) In relation to the improvement of health and safety within companies, describe what is meant by:
(i) corporate provision (2 marks)
Corporate provision is a supervision order imposed by the court on a company that has been convicted of
a criminal offence. The order requires the directors and senior managers to alter the way occupational
health and safety is managed so that the likelihood of similar accidents or ill-health occurring is reduced.
This might for example, the company requires reviewing its health and safety policy, review or introduce
new procedures or ensures workers are fully trained and initiate training programme for its directors and
senior management. The court might decide to suspend part of the fine so that if the company met the
requirements of the order then part would not have to be paid. However, if the company fails to comply with
the terms of the order, not only could the suspended sentence be invoked but further penalties also be
imposed. The court will supervise and instigate a change in the organization’s culture.

(ii) adverse publicity orders (2 marks)

The intention of an adverse publicity order would be to publicize the failing that was called ‘naming and
shaming’ of an organization and seek to change its conduct through public perception. Having bad publicity
will have a negative effect on the image of the organization and may have been serious financial
implications for its future.
Note: The use of adverse publicity orders was introduced in the Corporate Manslaughter and Corporate
Homicide Act 2007 which became UK law in April 2008.

(iii) punitive damages (2 marks)

Punitive damages are a financial or monetary award which, while paid to a claimant, is not awarded to
compensate, but in order to reform or deter the defendant and similar persons from pursuing a course of
action such as that which damaged the claimant. As such they are both a punishment and deterrent. The
amount of the award is determined by a court and is not linked to the losses suffered by the claimant.

(b) Outline the mechanism by which the ILO can influence health and safety standards in different
countries. (10 marks)
Mechanism by which the ILO can influence health and safety standards in different countries such as:
1. The development of international labour standards through conventions supplemented by
recommendations containing additional or more detailed provisions,
2. The ratifications of the convention by member states which commits them to apply the terms of the
conventions in national law and practice;
3. The requirement for member states to submit reports to the ILO detailing their compliance with the
obligations of the conventions they have ratified;
4. The initiation of representation and complaint procedures against countries for violation of a convention
they have ratified;
5. The provision of technical assistance to member states where this is seen to be necessary and
indirectly through the pressure applied internationally on non-participating countries to adopt ILO
standards.

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 (c) Describe what is meant by the term ‘self-regulation’ in relation to health and safety management
within organizations. (4 marks)
Self-regulation refer to the trend in health and safety legislation to set a standards and objectives and
leave it to the duty holder to determine how best to achieve them. More particularly it could refer to the
means by which members of a profession, trade or commercial activity are bound by mutually agreed set
rules often set out in a code of practice or conduct. It governs their inter relationship and the way they
operate. The rules may be accepted voluntarily or they may be compulsory. There will normally be a
procedure for resolving complaints and for the application of sanctions against those who infringe the rules.

(d) Explain the role of legislation in improving workplace health and safety. (6 marks)
Note:
Legislations may be defined as the statutes and other legal instruments (documents) that have been
enacted by the governing body.
Legislation has a role in improving workplace health and safety by setting minimum standards which are
enforced by a regulator and allowing for punishment of the offender if compliance with the standards is not
achieved. It is updated by national or federal government when required, applies to all workplaces thus
creating a level playing field and may be prescriptive or goal setting, the latter often supported with
interpretation in the form of codes of practice or guidance.

EXPRESS TERMS / INFLUENCIAL PARTIES / NON-CONFORMITY TO STANDARDS

2. July 2009 – Q11 – 20
Companies are subject to many influences in health and safety.

(a) In contract law state what is meant by express terms. (2 marks)

Express terms are those specifically mentioned and agreed by the parties during the negotiation or written
into a contractual document so it is clear what is required of each party. Implied terms are neither written
in the contract nor specifically agreed. They include terms such as the matter of facts, matters of the law
and matters of custom and practice. In case of dispute they may ultimately have to be determined by a
court of law.
(b) Outline how influential parties can affect health and safety performance in a company. (8 marks)
Influential parties that should be considered include:
1. Employer bodies who may set professional and performance standards for member organizations;
2. Trade associations who set performance standards for members and can require self-regulation and
compliance with accredited management systems;
3. Trade unions whose representative check workplace conditions and provide advice and guidance;
4. Professional groups such as IOSH who set professional standards of performance and provide
advice and guidance;
5. Pressure groups who can organize campaigns to obtain bad publicity for non-performing
organizations;
6. The public as costumers can influence the success of an organization by boycotting goods and
services;
7. The ILO who publish advice and guidance and enforce standards in conventions and
recommendations;
8. Insurance companies who can require specific performance standards for insurance cover and may
remove statutory cover for non-compliance; and

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 9. Media who are always willing to provide publicity and coverage of incidents affecting the health and
safety of workers and others.

(c) Outline how non-conformity to an accredited health and safety standard such as BS OHSAS 18001
can be used as a form of enforcement in a self-regulatory model. (10 marks)
Non-conformity with accredited standards can be used as a form of enforcement due to the following
reasons includes:
1. Stakeholders who require conformity with an accredited health and safety standard and may seek
retribution against the management team for failing to maintain the standards while clients and
business partners will not engage with organization unless the accreditation is maintained;
2. Insurance companies may require demonstration of a standard of performance in line with the
requirements of the standard and withdraw cover of the statutory insurance if there is non-compliance;
3. Third party audits will identify failing compliance and require solutions to put in place to maintain
accreditation;
4. The treat of removal of accreditation and that loss of business may help to improve standards;
5. The loss of reputation as a result of non-compliance may damage the image of the organization;
6. The possibility of expulsion from association or trade bodies as a result of the loss of accreditation
will motivate compliance;
7. The lack of credibility in not complying with the recognized system may motivate compliance as
business is affected;
8. The various levels of action open to the accrediting body such as informal notification of failures,
formal notification of non-conformance and finally the withdrawal of accreditation can provide a strong
inducement to comply with the standard.

(d) Some organizations may decide to adopt standards such as 18001. Describe how demonstrating
compliance with such standards can be used to:
(i) Promote health and safety performance in a company. (5 marks)
Demonstrating compliance with a standard such as OHSAS 18001 can promote health and safety
performance in a company by:
1. Communicating minimum standards of performance;
2. Developing system for compliance supported by senior management and involving workers in their
development;
3. Using departmental auditing scores and internal performance league tables to encourage compliance;
4. Introducing reward schemes linked to compliance;
5. Using compliance as a marketing tool in attracting clients;
6. Publishing performance achievements in the company’s annual report.
(ii) Regulate health and safety performance in a company (5 marks)
Compliance with the standard might help to regulate health and safety performance of the company such
as:
1. In the case of a failure to maintain compliance,
- stakeholders might take retribution against the management team,
- clients and business partners may cease to engage with the company,
- and insurance companies may withdraw their cover.

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 2. Accordingly, the treat of loss of business and damage to the company image may help to improve
standards and management commitment;
3. Additionally, internal and third party audits will identify failing compliance and require solutions to be
put in place to maintain accreditation with the possibility of internal sanctions being imposed on
offending departments for non-compliance;
4. Finally, the organization will always be conscious of the various actions that might be taken by the
accrediting body from informal notification of failure to comply with the standard, through formal
notification if non-conformance were to continue to the ultimate act of withdrawal of its accreditation.

EXTERNAL INFLUENCES - ILO

3. Jan. 2010 – Q10 – 20
There are number of external influences on an organization in relation to the management of health and
safety.

(a) Outline the purpose of International Labour Organization Codes of Practices. (2 marks)
ILO Code of Practice contains practical recommendations intended for all for those with a responsibility for
occupational health and safety in both the public and private sectors. They are not legally binding
instruments and are not intended to replace the provisions of national laws or regulations, or accepted
standards. They do however, provide additional information in clear language and provide support for
conventions adopted by the ILO.
(b) Outline how International Labour Standards are created at the International Labour Conference.
(4 marks)
International Labour Standard is organized by ILO and is initially the subject of an agenda item at the ILO
conference. The ILO prepares a report analyzing the requirements of members’ laws which is circulated to
all members. The item is discussed at conference and a further report is prepared together with a proposed
draft of the standard. This is again put to conference, amended where necessary and then proposed for
adoption. Adoption needs two thirds majority of members of the conference.

(c) Outline how the International Labour Organization can influence health and safety standards in
different countries. (6 marks)
Mechanisms by which ILO can influence health and safety standards in different countries include:
1. The development of international labour standards through convention supplemented by
recommendations containing additional or more detailed provisions;
2. The ratification of the conventions by member states which commits them to apply the terms of the
convention in national law and practice;
3. The requirement of member states to submit reports to the ILO detailing their compliance with the
obligations of the conventions they have ratified;
4. The initiation of representation and complaint procedures against countries for violation of a convention
they have ratified;
5. The provision of technical assistance to member states where this is seen to be necessary and
indirectly through the pressure applied internationally on non-participating countries to adopt ILO
standards.

(d) Outline how the media (television news programs, newspaper, radio broadcasts, internet pages,
etc.) can influence attitudes towards health and safety. (8 marks)
The global coverage of incidents involving health and safety by the media which may influence the
perception of the clients, costumers and other stakeholders of the companies or industries involved. The

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influence may be positive but normally has the opposite effect. The coverage is generally sensational,
particularly when the incident has resulted in fatalities or when enforcement action is taken and specially
designed to attract attention with the media using a full effect the multiple methods of delivery at its disposal
such as television, radio, print, video and internet. In addition, to the coverage of incidents, the media will
also influence the attitudes of the public towards health and safety by topic focused advertising.

ROLE & LIMITATION OF LEGISLATION

4. July 2010 – Q10 – 20; July 2012 – Q9 - 20
(a) Outline the role of health and safety legislation in the workplace. (10 marks)
Role of health and safety legislation in the workplace is to provide workers with the minimum standards
of health and safety which through their employer compliance, prevents injuries and occupational illness.
It ensures the appointment of competent workplace inspectors and allows for penalties against those who
are found to be breaking the law.
Prescriptive legislation provides specific advice and rules to follow while the role of goal setting
legislation is to provide general advice and localized interpretation of ownership.
Legislation can be address any specific regional needs, may harmonized standards amongst countries,
provides a civil route for obtaining compensation even if no fault liability exist in certain countries and is a
demonstration of compliance with ILO conventions.

(b) Outline the limitation of health and safety legislation in the workplace. (10 marks)
Limitation of health and safety legislations are that in the case of prescriptive legislation, it quickly
becomes outdated, does not address social, technological or economic changes and often lacks detailed
regulations to supplement its requirements while the interpretation of goal setting legislation is variable and
inconsistent.
Much of the legislation addresses industrial safety and not occupational health.
There are often insufficient resources available for inspecting workplaces and enforcing the legislation and
often the limited penalties awarded are not sufficient deterrent for employers caught breaking the law.
Additionally, many employers and workers are unfamiliar with the content of the legislation and this is not
helped by the lack of involvement of employers, trade unions and workers in the process of standard
setting.
Again, the main and often sole limitation that came to mind and was mentioned was the variety and
inconsistency in the interpretation of goal setting legislation.

Section B – 10 Marks Question

PRECRIPTIVE AND GOAL-SETTING LEGISLATION
1. July 2008 – Q1 – 10; Jan. 2011 – Q5 – 10; Jan. 2013 – Q5 - 10
Outline with example, the benefits and limitations of:

(a) Prescriptive legislation (5 marks)

It has clearly defined requirements which area more easily understood by the duty holder and enforce by
the regulator. It does not require a higher level of expertise to understand what action is required and
provides uniform standard of specified requirements to be met by all duty holders. However, it is inflexible
and so depending on the circumstances by requiring too high or too low a standard. In addition, it does not
take an account of the circumstances of the duty holder and may require frequent revision to keep up with
changes in technology and knowledge. For example, Abu Dhabi Code of Practice 34.0 – Safe Use of Lifting
Equipment and Lifting Accessories or UK Lifting Operation and Lifting Equipment Regulation that sets a

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provisions of information and instruction for the safe use of the equipment including training requirements of
the users or operator.
(b) Goal-setting legislation (5 marks)
The benefits of goal-setting legislation allows more flexible in compliance may be achieved because it is
related to the actual risk present and can apply to wide variety of workplaces and less likely to need
frequent revision. It is however, much more difficult to enforce because what is “adequate” or “reasonable
practicable” are much more subjective and so open to argument, possibly requiring the intervention of the
court to provide judicial interpretation. Duty holders will also need a higher level of competence in order to
interpret such requirements. For example, UAE Ministerial Order 32 of 2008 – The Determination and Ways
to Protect Workers from Occupational Diseases and Injuries or US OSHA Act of 1970 and UK Health and
Safety at Work Act 1974.

EXPRESS TERMS & IMPLIED TERMS/CONTRACT TERMS

2. July 2008 – Q6 – 10; July 2010 – Q3 – 10; Jan. 2012 – Q5 – 10; Jan. 2014 – Q1 - 10
(a) In relation to a binding contractual agreement state the meaning of:
(i) Express terms
(ii) Implied terms (5 marks)
Express terms are those specifically mentioned and agreed by the parties during the negotiation or written
into a contractual document so it is clear what is required of each party. Implied terms are neither written
in the contract nor specifically agreed. They include terms such as the matter of facts, matters of the law
and matters of custom and practice. In case of dispute they may ultimately have to be determined by a
court of law.
(b) In relation to a new grounds maintenance contract, give example of the information which should be
stated in the contract terms, in order for the work to be undertaken safely. (5 marks)
Information that should be stated includes:
1. The responsibility of the contractor to provide a safe working environment including safe means of
access and egress to the site;
2. To provide safe plant and equipment tested and examine in accordance with any legal requirements;
3. To provide adequate welfare facilities for the workforce and to ensure they were given relevant
information, instruction and training and where properly supervised;
4. Provision of procedures for dealing with any emergency that might occur.

SELF REGULATION
3. Jan. 2009 – Q6 – 10; July 2011 – Q5 – 10
An organization has decided to adopt a self-regulatory model for its health and safety management system.

Explain:

(a) The benefits (6 marks)

1. One of the more important benefit of self-regulation is that it is developed by those directly involved
in the management of health and safety and this can be generates a sense of ownership;
2. It can set and maintained its own standards without external interference;
3. If problems arise, it can more easily keep its own internal affairs privately;
4. The fact it can be quicker to achieve than statutory regulation;
5. Can result in higher level of compliance;
6. Can easily adopted or updated;

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 7. Can often cheaper and quicker means of addressing issues; and
8. May often result in a closer relationship between industry and its client.

(b) The limitations (4 marks)

Limitations of self-regulation include:
1. All those involved may not operate within the self-regulatory rules and that there is a danger of self-
interest being put ahead of employee or public interest;
2. Self-regulation can result in lower levels of compliance;
3. There is no third party or independent auditing and it is valued as highly by stakeholders;
4. Self-regulation may fail because individual organizations may believe there is a little advantage in
establishing good standards if similar organizations choose to ignore them;
5. Workers may experience poor standards with an increased frequency of accidents and ill-health.
of self-regulation in connection to the management of health and safety.

Note:
Self-regulation is the process whereby an organization monitors its own adherence to health and safety
standards, rather than having an outside agency, such as governmental body, monitoring and enforcing
them.

RATIFIED INTERNATIONAL CONVENTIONS/RECOMMENDATIONS

4. July 2011 – Q2 – 10; Jan. 2014 – Q4 - 10
In relation to health and safety, outline the status and role of:

(a) Ratified international conventions (5 marks)

There are approximately seventy conventions dealing with occupational health and safety and their
status is comparable to that of multilateral international treaties. The conventions create binding
obligations for countries that rarify them and any complaints and non-compliance can be examined by the
ILCC. As for the role of ratified conventions, they lay down the basics principles to be implemented by
ratifying states and their provisions are used as a basis for establishing national laws. They require states
to report on their own application of the conventions and the extent of the States’ compliance may be
examined.
Note:
All adopted ILO conventions are considered international labour standards irrespective of how many
governments have ratified them. If a convention has not been ratified by member states then it has the
same legal force as recommendations.
(b) Ratified international recommendations (5 marks)
Ratified international recommendations are aimed at member States but do not have the binding force
of conventions and may stand alone without being linked to any particular convention. The role of ratified
international recommendation is to stimulate and guide national programs for member states. Where
linked to a convention, they will elaborate on its provisions and provide more detail on how it may be
applied.
Note:
Recommendations are non-binding guidelines so are not ratified by member countries and do not have the
binding force of conventions Example: Occupational Safety and Health Recommendations R164 1981.

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Section C – Revision Question

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