4 Health and safety management systems 3 – Planning

Question 1

After previously experiencing issues with non-compliance, an employer is
preparing to introduce a safe system of work.
(a) Explain the meaning of the term ‘safe system of work’. (2)
(b) Outline the content of a training session designed to ensure the
successful introduction and use of the new safe system of work. (10)
(c) Identify individual factors that might cause an employee to
deviate from the safe system of work. (8)

Answer 1

An acceptable meaning of the term ‘safe system of work’ refers to it as a step by step
procedure taking into account matters such as hazards, control measures and the
provision of training together with the integration of personnel, equipment, materials
and the environment with the ultimate aim of producing an acceptable level of safety.
There are few good answers submitted for this part of the question. Many candidates
do not demonstrate an understanding that a safe system of work is a structured
procedure with the ultimate aim of attaining a reduction in risk. There is often
confusion between a safe system of work and a permit to work. It is also important to
ensure any explanation given does not just restate the wording of the question, i.e. a
work system to ensure safety; candidates need to show they understand the concept
and explain rather than restate.
In any training session an important first step would be to inform the trainees of what
the task or operation entails, what hazards and risks have been identified and why a
safe system of work is needed. An explanation would then need to be given of the
precautions and control measures that are to be introduced such as the use of any
special equipment, tools and personal protective equipment. It would further be
important to arrange for a practice session and to inform the trainees of the
arrangements for consultation and feedback and for monitoring the success or
otherwise of the system once it had been introduced.
Instead of concentrating on the content of a specific training session as required,
many candidates often outline how a general training session on health and safety
should be set up dealing with the facilities that should be available and the
competency of the instructors. Examiners are expecting candidates to focus on the
training session and its specific content rather than any periphery information. The
focus is on ensuring candidates know what a safe system is but also what individual
issues would be appropriate to a session covering a new safe system. The key
components of the safe system would definitely be explored during any training given.
In answering part (c) a number of factors should be identified such as the individual’s
lack of knowledge and understanding of the system; their attitude, motivation and poor
perception of risk which would be exacerbated if they had personal problems such as
sensory defects, a language barrier or problems connected with their personal life
which could have caused them to become stressed. The question specifically asks
candidates to identify individual factors that might cause an employee to deviate from
a safe system of work. Many candidates however, identify organisational, job or
environmental factors for which no marks can be awarded. It is important to focus the
answer given to the specific issues requested in the question or else mark
opportunities are lost.

Question 2

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

Answer 2

Candidates can chose from a variety of published information such as statutory
instruments, ACOPs and HSE publications; manufacturers’ and suppliers’ data;
British, European and other standards; industry, trade and trade union literature; and
in-house publications such as the health and safety policy and accident statistics.
Many candidates are unable to differentiate between published information and that
produced in-house and tended to rely too much on the latter. Some refer to statutory
instruments and then quote examples of Acts and Regulations. A few candidates
mention the internet but give no specific examples while some believe the question
seeks sources of information – possibly having in mind a former question – and
instead refer to HSE, IOSH and others rather than to the particular documents such as
ACOPs for example that these organisations had published.
Examiners expect a variety of different published information, both internal and
external to give a broad based answer to a question of this nature.

Question 3

Outline factors that may increase the risks to persons who are required
to work alone away from the workplace. (8)

Answer 3

Examiners are looking for a logical, well structured and practical answer. This would
have firstly outlined the factors that would contribute to the potential risk such as the
work to be done and its attendant hazards and then went on to identify factors that
might possibly increase the level of risk such as the competence, training and
suitability of the persons involved; a failure to provide the appropriate equipment and/or
materials and personal protective equipment such as eye and hearing protection;
inadequate means of communication with the home base and a lack of immediate
supervision to ensure that the correct working procedures were being followed; and
psychological factors such as the stress that might be caused by working alone for
long periods of time.
This question is often not particularly well answered. There appears to be a lack of
understanding of the risks associated with lone working and a number of candidates
write about risks in general rather than those caused or exacerbated by working alone
with few able to relate to the type of work undertaken and its associated hazards.
Some answers refer to factors which are not unique to lone working whilst others
suggest control measures rather than factors that might lead to an increase of risk.

Question 4

(a) In relation to a risk assessment undertaken to comply with the
Management of Health and Safety at Work Regulations 1999,
outline the criteria that will determine whether it is ‘suitable and
sufficient’. (3)
(b) Outline, giving a workplace example in EACH case, the meaning
of the following terms:
(i) hazard; (2)
(ii) risk. (3)

Answer 4

The criteria include that the assessment should identify not only all significant hazards
and risks arising from or connected with the activity to be carried out but also all the
persons at risk with additional reference being made to those who might be especially
at risk. Information would also have to be included on the period of time for which the
assessment is likely to remain valid and the competency of the person who carried it
out. Most candidates managed to outline some of the relevant criteria although some
did experience difficulty in deciding what might constitute suitability and sufficiency
whilst others described the ‘five steps’ or the hierarchy of control.
There remains some confusion between the two terms ‘hazard’ and ‘risk’ and whilst for
risk most candidates refer to probability and severity, there are only a few who provide
a relevant example indicating how a risk may change or increase.

Question 5

(a) Describe how a general hierarchy of control is arranged to
control risks. (2)
(b) Explain why personal protective equipment (PPE) is the final
stage in the general hierarchy of control. (6)

Answer 5

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcomes 4.2 Explain the principles and practice of risk
assessment and 4.3 Explain the general principles of control and a basic hierarchy of
risk reduction measures.
Part (a) of the question only requested a description of the general hierarchy of control
for two marks, the hierarchy in its entirety was not required and did not answer the
question. A shorter more focused answer on what a hierarchy of control actually is was
all that was required. Time and effort giving long answers when only two marks are
available may mean time is lost to be able to answer all other questions on the paper.
Part (b) again did not ask for a description of a general hierarchy of control, yet again
many answers just give the hierarchy with personal protective equipment at the end.
This type of answer did not answer the question set. It is important that concepts once
learnt are not just quoted in answers without being applied to the question. Personal
protective equipment only protects the user and just repeating the question statement
that PPE is to be used as a last resort did not achieve any marks.

Question 6

In relation to a risk assessment carried out to comply with the
Management of Health and Safety at Work Regulations 1999:
(a) identify criteria that will determine whether it is ‘suitable and
sufficient’; (5)
(b) outline circumstances that may require a risk assessment to be
reviewed. (3)

Answer 6

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcomes 4.2: Explain the principles and practice of risk
assessment and the criteria for a “suitable and sufficient” risk assessment.
The Management of Health and Safety Regulations require every employer to carry out
“suitable and sufficient” risk assessments. Answers outlining the HSE Five steps to
risk assessment did not meet the requirements of the question. The majority of
candidates were able to give the circumstances that would require a risk assessment
to be reviewed. The detail and depth of answers given was good in most cases.

Question 7

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

Answer 7

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcomes 4.1: Explain the importance of planning in the context
of health and safety management systems.
This was a challenging question for most candidates though there were a few very good
answers. The use of the acronym “SMART” proved a useful guide for many who went on
to expand on it but in some cases the acronym itself was the only point included in the
answer. In some cases a list of example targets was provided but not any of the factors
were considered when setting them. Organisations may set a variety of targets but they
need to be linked to the health and safety policy or its health and safety management
system.

Question 8

(a) Give the meaning of the term ‘risk’. (2)
(b) With reference to the general principles of prevention, outline,
with examples, the meanings of the following terms:
(i) collective protective measures; (2)
(ii) adapting work to the individual; (2)
(iii) controlling hazards at source. (2)

Answer 8

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcomes 2: Explain the principles and practice of risk
assessment and learning outcome 3: Explain the general principles of control and a
basic hierarchy of risk reduction measures.
The meaning of the term risk was given readily by the majority of candidates. The
concepts explored in part (b) were not well demonstrated, with few correct examples
given to show the topics were understood. There were a number of confused answers
here in some cases, with the same answer being used to cover all three different
items.
Part (b) identified a significant area of weakness of knowledge and understanding. A
review by candidates and course tutors of learning outcome 4.3 and the general
principles of prevention as required by the Management of Health and Safety at Work
Regulations 1999 would be useful. Less emphasis should be placed on acronyms
which candidates drop into their answer without any understanding of what they should
apply it to. Answers stating writing “PIGSRISE” and “ERICPD” did not gain marks and
course providers may need to review their focus on specifics of control measures to
ensure they cover them sufficiently for candidates.

Question 9

(a) Define the term ‘confined space’. (2)
(b) Identify THREE examples of confined spaces. (3)
(c) Outline how employees working in a confined space could call
for assistance in an emergency. (3)

Answer 9

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcomes 6: Explain the role and function of a permit to work
system.
Confined spaces are high risk areas and benefit from their own specialist legislation
which defines them. Confined spaces are not necessarily small spaces but where a
range of specified risks can occur. There was a good demonstration of knowledge of typical confined spaces and how employees could call for assistance, but not how a
confined space is defined.

Question 10

(a) Give the meaning of the term ‘hazard’ AND give a workplace
example. (2)
(b) An inspection has identified a range of hazards that cannot be
eliminated. There is a limited budget available.
Explain the issues to be taken into account when deciding which hazards
to prioritise. (6)

Answer 10

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcome 2: Explain the principles and practice of risk
assessment.
Part (a) was well answered but there was a number of problems in the answers given
in part (b). Some answers just stated a typical hierarchy of control rather than focusing
on issues to be taken into account when deciding which hazards to prioritise. This
question required some consideration rather than the quoting of a pre set memorised
list of items or terms. Health and safety advisers could be faced with this situation and
they will be required to know how to best proceed.

Question 11

With respect to the management of risk within the workplace:
(a) outline the meaning of the term ‘hierarchy of control’; (2)
(b) outline, with examples, the standard hierarchy that should be
applied to control health and safety risks in the workplace. (6)

Answer 11

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcome 4.3: Explain the general principles of control and a
basic hierarchy of risk reduction measures.
For part (a) most candidates were able to provide sufficient outline to be awarded at
least one mark. Some candidates appear to have misread or misunderstood the term
‘management of risk’ in the stem and answered both parts of the question based on
the risk assessment process. It was also found that some candidates interpreted the
question as relating to the management model set out in the HSE guidance:
Successful Health and Safety Management (HSG65).
For part (b), the majority of candidates were able to gain some marks, mainly by the
use of a mnemonic aid, commonly ERICPD. Some candidates interpreted the ‘R’ in
ERICPD to mean reduce rather than reduce by substitution, which led to a number of
incorrect examples to be given. A number of candidates did not thoroughly read the
question and, in spite of providing the correct hierarchy, failed to provide any
examples, thus losing marks. Many of those who did give examples revealed
confusion in their knowledge of risk controls by giving inappropriate control measures
for a particular level of the hierarchy.

Question 12

Outline factors that should be considered when developing a safe
system of work. (8)

Answer 12

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcome 4.5: Explain what factors should be considered when
developing and implementing a safe system of work for general activities.
Those candidates who were well prepared had little difficulty with this question and
produced an answer of good depth, gaining high marks.
Some candidates took insufficient care in reading the question and answered a
question that they would like to see rather than the one that was set. Such candidates
missed that this question was concerned with the development of a safe system of
work and based their answer solely on the components of a safe system. This
approach severely restricted the range of marks available.
Many candidates centred their answer on the risk assessment process that is an
important part of the development of a safe system of work, but in doing so produced
a narrow answer that could only gain a few marks. A few candidates focused their
answer on the HSG65 management model and could not therefore be awarded
marks.

Question 13

(a) Give, using an example, the meaning of the term ‘risk’. (3)
(b) Identify the key stages of a workplace risk assessment. (5)

Answer 13

This question related to Element 4 of the syllabus and assessed candidates’
knowledge of learning outcome 4.2: Explain the principles and practice of risk
assessment.
For part (a), the majority of candidates were able to satisfactorily give the meaning of
risk in terms of likelihood/probability of the occurrence and possible
severity/consequence in terms of injury/damage should it occur. Some candidates
misread the question or did not know and gave the meaning of hazard instead,
gaining no marks.
Many candidates were unable to give an appropriate example that would adequately
convey their understanding of this key concept. For example, simply stating that working at height is a risk because the worker might fall does not give the meaning of
risk in terms of likelihood and severity or how the risk might change.
Part (b) proved to be less problematic and was well answered by most candidates,
with many gaining full marks. Clearly many candidates had covered the ‘five steps to
risk assessment’ and were able to reproduce this process during the examination.

Question 14

(a) Give the meaning of the term ‘risk’. (2)
(b) Give reasons why hazards may not be obvious to an employee
exposed to them. (6)

Answer 14

In answering part (b), candidates should have referred to the probability or likelihood
that an unwanted event will occur and the possible severity in terms of injury or
damage, should it occur. Answers were generally to a good standard though some
neglected to refer to ‘severity’. There was evidence of confusion between hazard and
risk with some candidates giving the meaning of hazard.
A good answer for part (b) would have cited reasons such as over-familiarity following
frequent contact with the hazard without recognising any potential harm; lack of
experience particularly in the case of young persons; sensory impairment; lack of
attention arising from the routine or repetitive nature of the task being undertaken;
warning alarms being masked by noise or the wearing of personal protective
equipment; and inadequate provision of training, information and instruction. Other
reasons which might have been given included the invisible nature of the hazard,
such as that arising from exposure to biological agents, gases and radiation and
those hazards where there is no obvious short term effect with little indication of what
harm might be caused in the longer term. There were some reasonable answers
produced for this part of the question though some candidates neglected to refer to
environmental and sensory factors and those connected with the wearing of personal
protective equipment.

Question 15

(a) Outline the functions of a permit-to-work form. (2)
(b) Outline the elements that should be included in a typical permit-
to-work form. (6)

Answer 15

In answering the first part of this question, Examiners expected candidates to outline
that the functions of a permit to work system are to control high risk activities by
ensuring set procedures are followed; to formally record control measures and to give
signed authority for the activity to be carried out. Whilst there were some good
answers provided, some candidates struggled to define the functions of a permit to
work form and often missed the point that its purpose is to control high risk activities.
Part (b) dealt with the more practical aspects of the permit to work system. Elements
which should be included in the permit include firstly a description and assessment of
the task to be performed including the plant involved, its location and the foreseeable
hazards associated with the task. This will determine the need for, and nature of the
necessary controls such as, the isolation of sources of energy and other services, the
provision and use of personal protective equipment, emergency arrangements and
facilities, communication arrangements and the duration of the permit.
An essential element of a permit to work system is the operation of the permit itself.
By means of signatures, the permit should be issued by an authorised person, and
accepted by the competent person responsible for the work. On completion of the
work, the competent person would need to indicate on the permit that the area had
been made safe in order for the permit to be cancelled by the authorised person, after
which isolations could be removed. This part of the question was generally well
answered with only some minor omissions such as referring to date and time but not
to duration and failing to recognise that the initial signature on the permit needed to be
that of an authorised person.

Question 16

Explain reasons why the following employees may be at greater risk in
the workplace:
(a) young persons; (4)
(b) expectant mothers. (4)

Answer 16

In answer to part (a) of the question, candidates were expected to refer to reasons
such as the individual’s stage of physical development and maturity; lack of
knowledge, experience, training and practical skills; lack of perception or awareness
of risk; poorly developed communication skills; over enthusiasm and the tendency of
young persons to take risks and to respond more readily to peer group pressure. Most
candidates provided reasonable answers though a few tended to list rather than
provide the requested explanation.
For part (b), reasons include susceptibility to chemical stressors or biological stressors
such as mutagens that cause intracellular changes; exposure to physical agents such
as ionising radiation and extremes of temperature; reduced physical capacity in tasks
involving manual handling and restricted mobility; ergonomic issues related to
prolonged standing or the adoption of awkward body movements; stress issues; and
failure by the employee to advise the employer of the pregnancy so that they are
unaware that specific control measures should be introduced. Many candidates had
greater difficulty in answering this part of the question. Some candidates identified the
precautions an employer should take rather than giving an explanation of why the
mother-to-be might be at greater risk. Others referred to Management of Health and
Safety at Work Regulations and the completion of assessments which was not really
relevant to this question.

Question 17

A large manufacturing company has just taken over a new site and has
discovered that they do not have any risk assessments in place.
Outline the factors to be considered when planning a general risk
assessment of the new site. (8)

Answer 17

Factors that would need to be considered in planning a general risk assessment of
the site include the size and complexity of the site and its previous use; the type of
activities undertaken and the nature of the hazards involved; the time scale as far as
completing the risk assessment programme is concerned; legal requirements such as
those contained in the Management of Health and Safety at W ork Regulations; the
identification of those employees particularly at risk such as young persons and
pregnant or nursing mothers; the company’s accident history; and the possibility of
making use of generic risk assessments. Consideration would also have to be given
to the personnel who should be involved and/or consulted in completing the
programme such as local managers and safety representatives; the persons who
would actually complete the risk assessments and what checks will have to be made
on their competence to carry out the task and how the assessments will be recorded
whether manually or by use of a computer.
Many candidates believed that this was a ‘five steps’ question and outlined at length
how a risk assessment should be carried out and not what was required in the
planning stage. A few, despite the wording of the question mentioned the possibility
of existing risk assessments whilst others listed all the possible hazards and risks that
might be present on the site.

Question 18

(a) An employee who works on a production line has notified her
employer that she is pregnant.
Outline the factors that the employer should consider when
undertaking a specific risk assessment in relation to the
employee. (6)
(b) If the significant risks cannot be eliminated identify the action
which must be taken by the employer to ensure the safety of the
employee involved. (2)

Answer 18

Factors that an employer should consider in undertaking a specific risk assessment in
relation to pregnant employees include exposure to chemicals such as pesticides,
lead and those that cause intracellular changes (mutagens) or affect the embryo
(teratogens); the risk of biological exposures for example to hepatitis, leptospirosis or
HIV; exposure to ionising radiation or to a physical environment involving extremes of
temperature, humidity, noise or vibration; ergonomic issues relating to prolonged
standing or the involvement of awkward body movements; the nature of the task to be
performed including the intensity and variety of the work and the involvement of
manual handling; psychological issues including stress; issues associated with the use
and wearing of personal protective equipment; the working of excessive hours
including night work and shift work and the arrangements for the provision of
adequate rest breaks.
Most candidates were able to outline a good number of factors that should be
considered. Some concentrated on manual handling activities, while others seemed
not to notice the reference to a ‘production line’ in the question and mentioned factors
relating to office work.
In answering part (b), candidates should have identified actions such as modifying the
working conditions or hours of work of the employees, offering them suitable
alternative work or suspending them from work for as long as necessary on full pay.
Answers to this part of the question were to a good standard though some candidates
did not include the possibility of modifying working conditions or that suspension
would include the payment of salary in full.

Question 19

A workshop has experienced a number of accidents that were due to
inadequate selection and implementation of risk controls.
(a) Identify FOUR of the general principles of prevention. (4)
(b) Give the meaning of the term ‘hierarchy of control’. (2)
(c) Outline how a typical hierarchy of control should be applied. (8)
(d) Outline the factors to be considered when selecting an
appropriate risk control method. (6)

Answer 19

Familiarity with Regulation 4 and Schedule 1 of MHSWR would have enabled
candidates to provide a good response to the first part of this question identifying
general principles of prevention such as the avoidance of risks; the evaluation of
unavoidable risks; controlling hazards at source; adapting to technical progress and
adapting work to the individual; replacing the dangerous by less or non dangerous
alternatives; developing a coherent prevention policy; giving priority to collective over
individual protective measures; and giving appropriate instructions to employees.
Answers were disappointing and there seemed to be few who understood the
principles of prevention with many basing their answers on the hierarchy of control/
‘ERICPD’.
For part (b) of the question, an acceptable meaning of the term ‘hierarchy of control’
would have been either a list of measures designed to control risks which are
considered in order of importance, effectiveness or priority or measures designed to
control risk that normally begin with an extreme measure of control and end with
personal protective equipment as a last resort. There were few candidates who were
able to give an acceptable meaning of the term, with some confusing it with the line
management structure of an organisation and the level of responsibility held at the
various levels.
In answering part (c) on the application of a typical hierarchy of control, candidates
should have begun with the possibility of eliminating the risks either by designing
them out or changing the process. The next step would be the reduction of the risks
by, for example, the substitution of hazardous substances with others which were less
hazardous. If this were not possible, then isolation would have to be considered,
using enclosures, barriers or worker segregation. The application of engineering
controls such as guarding, the provision of local exhaust ventilation systems, the use
of reduced voltage systems or residual current devices would follow as would
management controls such as safe systems of work, training, job rotation and
supervision with the final control measure being the provision of personal protective
equipment such as ear defenders or respiratory protective equipment. While this part
of the question was generally well answered, those candidates who had referred to
the hierarchy of control in answering the first part of the question were limited in
finding an answer for this part.
Factors that might influence the choice of a risk control measure include the
application of the hierarchy of control; the evaluation of the level of risk involved
together with its likely frequency, the severity of its outcome and its extent; the
number and type of persons exposed to the risk; the environment in which the control
is to be used; the requirements of the law and the recommendations contained in
relevant standards and guidance; the existing level of competence of the persons
involved with the possible need for the provision of additional training and supervision;
and the initial purchase and subsequent maintenance costs of the chosen risk control
method. For the most part, candidates produced answers based on the ‘five steps’
explaining how to carry out a risk assessment rather than outlining the particular
factors that would influence the choice of a risk control measure. A few repeated the
answer they had provided for part (c) of the question.

Question 20

(a) Give, using an example, the meaning of the term ‘risk’. (3)
(b) Identify the various checks which could be made to ensure
those carrying out risk assessments are competent. (5)

Answer 20

In answering part (b), candidates should have referred to the probability or likelihood
that an unwanted event will occur and the possible severity in terms of injury or
damage, should it occur. Most candidates referred to the likelihood of an event
occurring but few to its possible severity. A surprising number found it difficult to
provide an example of a risk and seemed unable to distinguish it from a hazard.
For part (b), in ensuring the competence of those appointed to complete the risk
assessments, checks would have to be carried out on their qualifications and
experience particularly that gained in carrying out similar assessment exercises; their
membership of a professional body or evidence of their success in any relevant
examinations or tests; their training records and the information available from their
more recent performance appraisals; their ability to interview and communicate
effectively with members of the workforce; and their possession of adequate report
writing skills. It might be that a number of candidates did not read this part of the
question with sufficient care since they addressed the competencies required for
carrying out an assessment rather than the checks that should be carried out to
ensure possession of the required level of competence.

Question 21

Identify factors to be considered to reduce the risk to persons who are
required to work on their own away from the workplace. (8)

Answer 21

Better answers to this question were provided by those candidates who approached
the question in a logical, structured and practical way by identifying firstly the factors
that would contribute to the potential risk such as the work to be done and its
attendant hazards and then went on to identify factors that might possibly increase the
level of risk such as the competence, training and suitability of the persons involved; a
failure to provide the appropriate equipment and/or materials; the provision of
personal protective equipment such as eye and hearing protection; the adequacy of
means of communication with the home base; the need for supervision to ensure that
the correct working procedures were being followed; security issues should there be the potential for violence; psychological factors such as working alone for long
periods of time; the need for adequate travel arrangements and the provision of
welfare facilities and emergency and first aid procedures.
This question was generally well answered, though a few candidates dealt with the
control measures that should be applied in the situation described rather than the
factors that should be considered.