5 Health and safety management systems 4 - Measuring, audit and review Flashcards
(a) Outline the reasons why accidents should be reported and
recorded within a workplace. (4)
(b) Outline factors that might encourage employees to report
workplace accidents. (4)
There are a number of reasons why accidents should be reported and recorded in the
workplace. Apart from the fact that it may be required by law, for example by RIDDOR,
it gives an opportunity for the early investigation of the circumstances of the accident
and thus for any necessary remedial action to be taken. Recording accidents will also
assist in the compilation of accident statistics and the identification of trends and the
information recorded could be of use in any criminal action or civil claim that might
follow the accident. Most candidates generally succeed in outlining many of the above
reasons although some only suggest the legal requirement while a few add additional
information on how to prevent accidents and how to investigate them if they did occur
which is irrelevant. Examiners are looking for more than answers which just state that
accidents should be reported for legal, moral and financial reasons.
For the second part of the question, candidates are expected to outline factors such
as ensuring that employees are aware of the procedures and requirements for
reporting accidents which should be as clear as possible and allowing them time off
from the job in hand to make the report; ensuring a positive management response to
the report with action taken where necessary to prevent a recurrence and with no
suggestion of victimisation or blame; and removing any disincentives to report such
as, for example, the award of bonuses for any time worked that was accident free.
Answers to part (b) are generally limited particularly since many are in the form of a list
rather than the required outline. Some candidates explain why reporting should be
encouraged but do not refer to the factors that might encourage it while a few appear
to answer a question that had appeared on a previous question paper seeking reasons
why employees did not report accidents. It is important that questions are read and
answered as they appear as it is common for answers given to clearly be answering a
completely different question entirely, possibly once covered during tutorials or one
covered in a previous examination.
Identify EIGHT measures that can be used to monitor an organisation’s
health and safety performance. (8)
Candidates could have chosen from a wide range of measures such as accident and
ill-health statistics and the incidence of other losses such as property damage; the
results of monitoring exercises such as periodic inspections and tours and the results
of environmental monitoring; the amount of enforcement action taken against the
organisation and benchmarking with other like organisations.
This question often does not attract the quality of answer expected although most
candidates do succeed in identifying four measures. Some identify different types of
monitoring explaining how each might help to measure performance and gain but a
single mark. Again, insufficient attention is often paid to the command word.
It is quite often the case that when presented with an ‘outline’ question, candidates
either identify or submit a list. On this occasion, they are asked to identify, but a
number waste a good deal of time by supplying sufficient detail to satisfy an ‘outline’,
but only on a few measures and so do not gain many marks.
When completing a health and safety inspection of a workplace:
(a) outline the strengths of using a checklist; (4)
(b) outline the weaknesses of using a checklist. (4)
One of the strengths of using a checklist to complete a health and safety inspection of
a workplace is the opportunity given for prior preparation and planning to be made so
that the inspection is structured and systematic. Other strengths relate to the degree of
consistency obtained firstly by those carrying out the inspection and further in the
areas and issues to be covered. There is also a bonus in that an immediate record of
the findings is produced which provides an easy method for comparison and audit.
This question focuses on strengths and weaknesses and a detailed description of an
inspection or check list was not required within the answer to this question, but this
was the route used to answer in some cases.
For part (b), candidates should outline the weaknesses connected with using this
system such as, for example, its rigidity and the possibility that inspectors are
encouraged to deal only with the listed subjects without enquiring into other matters
which might need attention and the difficulty in reviewing and updating the checklist to
account for changes in processes and equipment which might pose new risks.
Answers are generally to an acceptable standard with those for part (a) better than
those for the second part of the question. Those candidates, however, who suggest
that strength of using a checklist is that it is quick and easy to complete, were not
awarded a mark. There is also sometimes the suggestion that it was useful in that it
could be used by untrained operatives. This strength, perhaps after reflection, is later
also suggested as a weakness.
As the newly appointed health and safety adviser, you have been tasked
with improving the monitoring of health and safety within the organisation.
(a) Explain THREE differences between a health and safety audit
and a workplace inspection. (8)
(b) Outline factors that will need to be considered when planning a
new health and safety audit system. (8)
(c) Explain how senior managers can assist in the auditing process. (4)
This question related to Element 5 of the syllabus and assessed candidates’
knowledge of learning outcomes 5.1, the role of safety inspections and its role within a
monitoring regime and 5.2, the scope and purpose of auditing health and safety
management systems and the distinction between audits and inspections.
Both audits and inspections are a means of monitoring health and safety and both
have their respective uses. The question asked for an explanation of the differences
between these two processes and these concepts were not well explained in the main.
Some marks were lost where candidates gave descriptions of audits and then
inspections but without actually explaining what the differences were. Overall the
knowledge of this area of the syllabus was lacking and course tutors need to ensure
that these concepts are covered in sufficient depth and detail. There were a number of
lists used rather than the full explanation required which did not gain all the marks
available.
The second part of the question involved the planning needed prior to an audit being
completed. Audits must be planned and this involves more than just stating a list of
different documents to be reviewed. Any monitoring task needs to be considered and
designed before it is undertaken.
The third part of the question asked about the role of senior managers in the auditing
process but answers generally explained the role of a senior manager in health and
safety rather than the audit. Senior managers can assist in the audit itself and provide
resources for the audit actions. It is important that candidates read the question and
ensure their answer focuses on the question asked rather than a previously learnt
response.
(a) Give reasons why workplace accidents should be recorded. (3)
(b) Outline issues that should be included in a typical workplace
accident reporting procedure. (5)
This question related to Element 5 of the syllabus and assessed candidates’
knowledge of learning outcomes 5.4: Describe the legal and organisational
requirements for recording and reporting incidents including accidents.
Part (a) of the question was well answered with answers giving a range of different
reasons why the organisation should record workplace accidents including the legal
requirements. However candidates need to ensure they give specific answers and do
not just state the words legal, moral and financial and expect these alone to meet the
requirements of the question.
Part (b) of the question required candidates to outline issues to be included in a typical
workplace accident reporting procedure. Some candidates instead outlined issues for
workplace accident investigation procedure. The majority of organisations will have an
accident reporting procedure even if it is a basic one, this will include the reporting
form and practical issues about who actually completes the form. There were a
number of very in depth answers given but the marks awarded were minimal as the
answers given did not actually answer the question set.
Outline the factors to be taken into account to help ensure an effective witness
interview technique following a workplace accident. (8)
This question related to Element 5 of the syllabus and assessed candidates’
knowledge of learning outcomes 3: Explain the purpose of, and procedures for,
investigating incidents.
Candidates were able to gain high marks on this question. Many were able to clearly
outline those factors which need to be taken into account to ensure an effective witness
interview. Generally, marks were missed where candidates described an interview or
investigation process, rather than outline the techniques to use during the interview.
Overall answers where outlined as required.
Identify the documentation that can be used to review an organisation’s
health and safety performance. (8)
This question related to Element 5 of the syllabus and assessed candidates’
knowledge of learning outcome 5: Explain the purpose of, and procedures for, regular
reviews of health and safety performance.
As an ‘identify’ question, significant detail was not needed but a range of specific
documentation did need to be provided for a full answer. Overall a high standard of
answers was given to this question.
(a) Outline the reasons why accidents should be reported and
recorded within a workplace. (4)
(b) Outline factors that might encourage employees to report
workplace accidents. (4)
This question related to Element 5 of the syllabus and assessed candidates’
knowledge of learning outcome 5.4: Describe the legal and organisational
requirements for recording and reporting incidents.
Part (a) generally produced a good response from candidates. A few candidates seem
to have seen the words ‘reporting and recording’ and based their answer on the
content of an accident report rather than what was asked, clearly failing to read the
question thoroughly and losing the opportunity to accrue more marks.
A number of candidates realised that there were legal reasons for reporting an
accident but then revealed a gap in their knowledge by going on to state that reports
should be made to RIDDOR rather than to the HSE or other relevant authority.
Part (b) produced a good response with most candidates able to gain at least half
marks. Some lost marks by raising factors that might encourage the employer to
report workplace accidents whilst others answered in the negative sense and outlined
factors that might discourage the reporting of accidents. In each case examiners were
able to award few marks.
Outline reasons why an organisation should monitor and review its
health and safety performance. (8)
This question related to Element 5 of the syllabus and assessed candidates’
knowledge of learning outcome 5.1: Outline the principles, purpose and role of active
and reactive monitoring.
Overall, answers to this question were limited. Some candidates produced answers
that lacked the necessary depth for marks to be awarded. For example, simply stating
“to reduce accidents” is insufficient. A better response might have been “to identify
bad health and safety practices which, when later addressed, can help to reduce
accidents”.
A number of candidates failed to read the question with sufficient care and outlined
how or when to monitor and review health and safety performance rather than the
reasons why. Also, it appears that some candidates read ‘policy’ instead of
‘performance’ and hence gave reasons why an organisation should monitor and
review its health and safety policy. Very few marks can be gained by taking either
approach. Finally, on seeing ‘monitoring and review’ some candidates were convinced
that this was a question about HSG65 and so outlined the management model.
Outline the immediate and longer term actions that should be taken
following the discovery of a reportable occupational disease suffered by
an employee. (8)
This question related to Element 5 of the syllabus and assessed candidates’
knowledge of learning outcome 5.3: Explain the purpose of, and procedures for,
investigating incidents (accidents, cases of work-related ill-health and other
occurrences).
This question was fairly well answered by most candidates. However some
candidates failed to gain high marks by outlining the possible consequences of a
reportable occupational disease rather than the actions that should be taken following
its discovery. Better candidates took a chronological approach outlining the immediate
actions, such as isolating the source, and then went on to discuss the longer term
actions eg rehabilitation.
Candidates who failed to read the question carefully and answered based upon the
incidence of a reportable occupational accident were able to gain a limited number of
marks due to the commonality of some of the points.
An engineer was involved in a near-miss incident when he dropped a
component whilst working on an overhead crane. The component
narrowly missed an employee who was passing below.
(a) Give FOUR reasons why the near-miss incident should be
investigated. (4)
(b) Identify SIX possible root causes of the near-miss incident. (6)
(c) Other than root causes outline what should be included in the
near-miss incident report. (10)
In answering part (a) of the question, candidates should have included that the
incident should be investigated in the first instance to prevent a recurrence by
identifying its causes and any weaknesses in the existing procedures and systems. It
would also help to set priorities for any remedial action found to be necessary if for
instance risk assessments and safe systems of work need to be amended. An
investigation would additionally help to demonstrate management commitment to
health and safety and assist in maintaining and even improving the health and safety
culture of the organisation and the morale of the workforce. There were many
candidates who could offer no more than to identify the cause and to prevent a
recurrence. Some confused a near-miss incident with a dangerous occurrence and
believed there was a legal requirement to investigate it under RIDDOR whilst a few
believed the question referred to a load being dropped from a crane whilst it was in
operation.
For part (b), a good answer would have identified possible root causes such as a
failure to carry out an adequate risk assessment of the operation resulting in the
absence of recognised procedures for carrying out maintenance work and with no
safe system of work for handling components. Additionally, there may not have been
a system in place for advising other employees of the operation which was about to
be carried out with signs and barriers erected to keep them away from the area
beneath the crane. The engineer’s competence and training would have to be
questioned together with the possibility that he/she was subjected to excessive work
demands so that he/she did not have the time to take the necessary precautions in
completing the job with, in conclusion, many of the above causes inevitably calling
into question the standard of supervision exercised by management. Many candidates
showed little understanding of the term ‘root causes’ and outlined only those which
could be classified as immediate.
For part (c) in order to complete a near-miss incident report, information which should
be collected includes details of the activity being carried out at the time with any
history of previous similar incidents; the immediate causes of the incident with a
description of the prevailing environmental conditions such as levels of lighting;
drawings or photographs of the site of the incident with details of witnesses and
copies of their statements; copies of relevant risk assessments and safe systems of
work together with existing maintenance records; records of training received by the
employees concerned; an indication of possible breaches of legislation; an estimation
of the cost implications of the incident; and recommendations for the action to be
taken to prevent a recurrence including a proposed timescale and the allocation of
responsibility for completion of the work to a named individual or individuals. In
answering this part of the question, many candidates outlined the control measures
that should be put in place rather than the information that should be contained in the
report of the incident. Of those who did realise what was needed, a number referred
to time, date and location but little else.
(a) Identify TWO types of health and safety inspection. (2)
(b) Outline the skills and knowledge that are required of an
employee who conducts health and safety inspections. (6)
In answer to part (a) of the question, candidates could have identified types of health
and safety inspection such as pre-use checks for example of portable appliances or
ladders; general periodic workplace inspections; statutory inspections and those
associated with planned preventative maintenance; safety tours and safety sampling
and inspections carried out by members of the enforcement authority. Some
candidates referred only to external and internal inspection without giving any further
detail. There was the occasional reference to audit which is not a type of inspection.
For part (b), in referring to qualities expected of an employee who carries out health
and safety inspections, candidates were expected to refer firstly to the knowledge
he/she should possess such as a general knowledge of health and safety together
with the legal requirements and any published guidance; knowledge of the workplace
and the work activities carried out with the procedures that have been introduced such
as safe systems of work and the use of permits to work; and knowledge as to whom
he/she should report the results of the inspections. Relevant skills would include the
ability to identify hazards and risks and to detect deficiencies in the control measures
provided; observational skills together with the ability to record and report
observations; interpersonal skills including the ability to interview and question fellow
employees and finally and importantly the ability to recognise his/her own limitations.
Many candidates produced very brief answers to this part of the question referring
only in general terms to competence and knowledge without giving any further detail
of what this might entail.
An organisation can monitor its health and safety performance using a
variety of means.
(a) Identify FOUR active monitoring methods. (4)
(b) Identify FOUR reactive monitoring methods. (4)
In answering part (a) of the question, candidates could have selected from a number
of active monitoring methods including inspections, surveys, tours, audits,
environmental monitoring, health surveillance, behavioural observation and
benchmarking against the performance of other like organisations.
For part (b), reactive monitoring methods which might be used include accident and ill
health reports and statistics, incidents of reported near misses and dangerous
occurrences, property damage, actions taken by enforcement authorities, the number
of civil actions and insurance claims and the costs involved in all of these.
Part (a) of the question was better answered than part (b) where there was little
mention made of property damage, civil claims and costs. A number of candidates
were unable to differentiate between the two types of monitoring. A few submitted the
same answer for both parts.
Identify the information that could be used to review an organisation’s
health and safety performance. (8)
The information that could be used to review an organisation’s health and safety
performance includes accident and ill-health statistics and trends and absence
records; reported incidents involving near-misses and dangerous occurrences;
property damage; hazard reports from personnel; actions taken by the enforcement
authorities such as the issue of improvement and prohibition notices; the history of
insurance claims; the results of inspections, surveys and tours and environmental
monitoring; the quality and extent of risk assessments; safety audit outcomes; the
results of medical/health surveillance; benchmarking and information obtained from
cultural and behavioural questionnaires.
This question seemed to cause few problems for candidates.
(a) Give the meaning of the term ‘health and safety audit’. (2)
(b) Outline issues that need to be considered at the planning stage
of an audit. (4)
(c) Identify TWO methods of gathering information during an audit. (2)
For part (a), candidates were expected to include that an audit is a systematic critical
examination of a health and safety management system to identify its strengths and
weaknesses, involving a structured process for the collection of independent
information with the aim of assessing the effectiveness and reliability of the system
and suggesting corrective action when this is thought to be necessary. This part of
the question was poorly answered with candidates offering an inspection or checking
activity with no suggestion that it was a critical examination of a health and safety
management system to discover faults and suggest corrective action.
In answering part (b), candidates were expected to outline issues such as the
selection of a competent audit team independent of the area to be audited; deciding
on the objectives and scope of the audit; developing audit questionnaires and
checklists and agreeing on relevant guidance and standards that would be applied;
allocating resources; agreeing timescales and deciding on methods of feedback.
Many candidates missed the key word ‘planning’ and described the process of
auditing rather than its planning, indicating only the matters that should be given
attention. Some compared the advantages and disadvantages of using internal or
external auditors.
Part (c) attracted much better answers with candidates referring to methods of
gathering information during an audit such as interviewing, reviewing and assessing
written procedures and workplace observations to assess compliance with relevant
health and safety standards and guidance.
