Element 3 | Managing Risk - Understanding people and processes

Question 1

What are the additional arrangements employers may need to make to meet their responsibility to protect visitors, neighbours or members of the public from risks arising from their work activities? (8)

Answer 1

The type of arrangements employers could make to meet their responsibilities to protect visitors include;

• requiring prior notification of a visitors intention to visit, so that’s risks related to the visit can be assessed and control measures put in place.
• providing visitors with H&S information in suitable languages for example, information on hazards, control measures and emergency procedures
• providing visitors with an explanation of relevant site rules, for example, requirement not to enter restricted areas or to wear specific PPE.
• Controlling access to the site, for example by signing in and out and issuing visitors with badges to confirm their presence on-site is approved.
• Providing visitors with special clothing so they are easy to identify, enabling managers and workers to take account of their lack of awareness or knowledge of hazards
• providing visitors with suitable person to guide them while onsite, someone who knows the hazards of the site and how to keep the visitors safe and healthy

Question 2

What is meant by the “health and safety culture’ of an organization? (8)

Answer 2

The health and safety culture of an organization is concerned with:
1. “How people feel” about how health and safety encompasses the values, beliefs, attitudes and perceptions of individuals and groups at all levels of the organization which are often referred to as the health and safety climate of the organization.

2. “What people do” within the organization includes the health and safety related activities, actions and behaviours of individuals and groups at all levels. For example, individuals making time for health and safety and giving it due priority when making decisions.
3. “What the organization has” is reflected in the organisations policies, operating procedures, management systems, control systems, communication and workflow systems. For example H&S is integrated in planning work and design of the workplace

Question 3

Explain why an understanding of individual (human) factors is important in the workplace.(8)

Answer 3

It is important to know what a particular job involves so that the effects of individual factors can be minimized, especially for high hazard jobs. Not all individuals are suitable for all tasks, for example they may not have the physical strength and stamina required for activities such as coal mining. Some individuals mental disposition might put them at risk, for example, their motivation, i.e. they may feel that while doing their work taking the risk may make the work “easier” or to complete the work quicker. Some individuals characteristics such as skills and attitudes can be modified by training experience and involvement.

Question 4

Explain the role of worker participation in health and safety management (4)

Answer 4

The role of worker participation in health and safety is to provide the employer with a wider view of how risks affect workers, their view on the effectiveness of current control measures and on proposed control measures. In addition, the role of worker participation is to show management commitment and motivate workers to work safely and healthily.

e. g. Risk assessment process & team engagement.
e. g. Issuer and Receiver creating a JSAA

Question 5

What are the benefits of worker participation for the employer? (4)

Answer 5

The benefits of worker participation of this type is that it has been identified as one of the more significant factors to influence health and safety behavior and promote a positive health and safety culture in organisations. It can lead to shared health and safety values and the motivation of those involved to work together to improve health and safety.

Question 6

Outline the key stages that need to be followed in the risk assessment process. (8)

Answer 6

The key stages in a Risk Assessment process are:

1. The identification of hazards relative to the work activity or task being assessed.
2. Identification of the population at risk, who might be harmed and how, particular regard should be given to young persons, those that are inexperienced, pregnant or nursing mothers and those with disabilities.
3. The evaluation of the risks from the hazards and deciding on precautions (adequacy of current controls and the need for additional controls). Consideration of any residual risk that may remain.
4. Recording significant findings and the implementation of them.
5. Reviewing the risk assessment and updating it if necessary (periodically or when there is a significant change, for example process of legislation)

Question 7

Give two reasons why a visitor to a workplace may be more at risk of harm than a worker. (2)

Answer 7

Visitors may be unfamiliar with controls and the processes carried out in the workplace, their vulnerability particularly if they are disabled or young workers; they may not have been issued with or know how to correctly use PPE; a lack of knowledge of the site layout including pedestrian routes, which might not be clearly defined or adequate; be familiar with the emergency procedures.

Question 8

Outline the measures to be taken to ensure the health and safety of visitors to the workplace. (4)

Answer 8

Procedures to deal with visitors to a workplace such as, visitor identification, by issue of badges and a system requiring sign in and out; prior notification to those members of staff involved in the visit; the need for visitors to be escorted by a member of management or supervisory staff; the provision of information to the visitors on hazards and emergency procedures; an explanation of specific site rules - for example wearing of PPE, sticking to pedestrian routes

Question 9

What should you consider when developing and implementing a safe system of work for general activities? (8)

Answer 9

Development of a safe system of work requires a systematic approach and generally requires involvement of a number of people in order to establish an effective system of work. The development process requires a number of stages.

• Identification and analysis of the task, for example consider the risks, the complexity and layout, equipment, environment and materials.
• Identification of hazards and risk assessment and any issues which might affect individuals with special needs or disabilities.
• Introducing controls and formulating procedures, including the definition of the safe and healthy method and the implementation of the system, procedure, method statement, PTW.
• Instruction and training in the operation of the system, developing skill and knowledge and close working to support an new person/trainee
• Monitoring the system, supervisory checks and improvement feedback. It is important that the development of SWS involved relevant people; this could include managers, workers, maintenance, health and safety professionals.

Question 10

What is the purpose of first aid? (2)

Answer 10

The purpose of first aid is to prevent life, prevent the condition requiring first aid getting worse i.e minimising its consequences until medical help arrives; to promote recovery of person requiring first aid and provide treatment when medical attention of a minor injury is not required.

Question 11

Explain the role of first aiders (6)

Answer 11

The role of first aiders is to ensure good planning is in place to manage health and safety incidents swiftly when they occur for the foreseeable risk of the organisation. It is important to have arrangements in place for when accidents/incidents or ill-health occur. Emergencies that require first aid treatment can happen at any time. Therefore the provision of first aiders is an important part of an organisations emergency arrangements to provide prompt first aid response to emergencies, preventing injuries and illness getting worse and providing care until local medical emergency respond

Question 12

Outline the role of directors with regards to health and safety in their organisation. (3)

Answer 12

Directors have a governance role with respect to OHS in their organisations, which includes taking collective responsibility for H&S, legal accountability and leadership of OHS.

Question 13

Outline the actions top management can take to meet their health and safety role requirements. (5)

Answer 13

Actions include ensuring availability of resources making key appointments for H&S, ensuring Roles and Responsibilities are clearly defined for H&S activities, obtaining competent advice, taking ownership and fully understanding key issues ensuring OHS implications are fully considered when making strategic decisions, ensuring the HSMS is reviewed, and ensuring that incidents are effectively investigated and lessons learned.

Question 14

A large organisation has all its building maintenance work carried out by a contractor. Outline the health and safety responsibilities of the organisation as the client for the contracted work. (8)

Answer 14

Must consult, cooperate and coordinate activities to ensure safe premises, access and egress, plant, equipment or substances. This can take the form of regular meetings to discuss progress and changes.

Further responsibilities due to contract agreements may include e.g. Maintenance of the premises and equipment.

eg. Contractor annual reviews

Question 15

Give the meaning of the term “health and safety culture”.(2)

Answer 15

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

Question 16

What is the function of a permit-to-work system? (6)

Answer 16

The function of a permit-to-work system is to ensure the proper authorisation of specified work, by appointed individual competent in the task and associated hazards and risk control systems available. This will include confirmation of the identify, nature, timing, extent and limitations of the work. Consideration of the need for minimum staffing levels and where there may be identical or similar work equipment in the same vicinity, how confusion is prevented. Controlling change and considering other work activities that might interact with specified work. Establish criteria to be considered when identifying hazards and what they are. Confirm through permit writing, that hazards have been removed where possible and that control measures are in place to deal with residual hazard. Confirm who has control of location and equipment relating to work. Confirm work is started, suspended, conducted and finished safely, evidence by time of signature. Ultimately providing method to identify necessary steps to be followed.

Question 17

Why is it important to develop emergency procedures for the workplace? (8)

Answer 17

It is important to develop and implement emergency procedures for potentially major loss-causing events n order to bring the event under control promptly, reduce the effects of the event (on premises equipment, materials, environment and people that might be affected). and enable a fast return to normal operations. In the absence of emergency procedures there may not be a timely or suitable response to the emergency allowing it to get out of control and cause more serious effects than if procedures were in place. Depending on the emergency, this could result in major loss of life, long term ill-health, environmental effects, significant damage to buildings and equipment and long delays in the organisation returning to normal operations. Some organisations or locations where emergencies take place that are not effectively controlled never recover form the effects and cease to function or trade.

Question 18

Identify eight items that should be included in a hot works permit-to work systems. (8)

Answer 18

The following eight items should be included on a permit-to-work document when undertaking hot works

• Permit Issue number
• Authorised person identification
• Standby fire warden
• Locations of firefighting equipment/flammable materials
• Emergency muster points
• Details of work to be carried out
• Signatures of authoriser and work clearance
• Other precautions (Risk Assessments, Method Statements, Specified PPE)

Question 19

Identify indicators that an organisations health and safety culture may be poor or ineffective (4)

Answer 19

High rates of absence, injuries, compensation claims, high insurance premiums, plant and equipment damage, substance misuse levels. NO visible senior management commitment, unclear vision and values regarding health and safety, lack of consistent behaviours and approaches, high staff turnover, high stress and workload, negative attitudes and behaviours by supervisors and management, no effective worker engagement and participation. Compliance problems-indicates by enforcement actions, failures to pass audits.

Question 20

Outline how workers may influence each other with regard to an organisation’s health and safety culture. (2)

Answer 20

Power of peer pressure, compliance is easier if everyone is doing the same thing and harder if there is a lot of inconsistency of beliefs, values, attitudes and behaviours, workers tend to lean on each other, new workers will learn from each other, new workers will learn what is accepted behaviour from the group norms and the examples set by influential individuals such as supervisors and managers.

Question 21

Outline job factors that may be the reason why a worker did not follow a safe system of work when operating a production machine (5)

Answer 21

• Poor design of equipment
• Missing or unclear instructions
• High workload
• Environmental issues
• being constantly disturbed or interrupted
• insufficient time to complete the job
• Unclear instructions relating to the safe system of work

Question 22

Outline individual factors that may be the reason why a worker did not follow a safe system of work when operating a production machine (3)

Answer 22

• Competence/skill level
• experience resulting in use of short cuts and personal work arounds
• Familiarity with the task resulting in adoption of habitual work methods
• personality/attitude and worker risk perception
• fatigue or tiredness and personal medical issues

Question 23

Identify ways in which organisations can positively influence the health and safety behaviours of their workers (8)

Answer 23

• Positive reinforcement
• Leaders setting a good example
• Effective and constructive supervision and feedback
• Setting of targets and incentives for reaching targets
• Positive peer pressure
• Clear communication of expectations and standards
• Effective engagement and participation so that work planning and procedures take into account worker views
• A robust training needs analysis and training provision programme will ensure workers have the knowledge and skills to do the job well
• Investment in good training and good equipment sends a clear message that workers are valued.

Question 24

A worker was injured after failing to follow written instructions. The instructions were contained in a company handbook that was issued on induction.

Explain why providing written instructions in a handbook may be ineffective. (8)

Answer 24

• The worker could not read and the handbook not in the workers first language
• The worker may not have read the handbook or been instructed to read the handbook
• The worker must be properly trained, not just provided with information
• The handbook is not accessible and the worker was not given adequate time to read the handbook
• The written instructions are out of date and do not match the task or work being done
• There may be peer pressure to do work in a certain way that contradicts the written instruction.

Question 25

Identify why verbal instructions may not be clearly understood by a worker (8)

Answer 25

Problems with the message: Too much information or too complex (better to be provided in written form) technical language, jargon and abbreviations.

Problems with the receiver: difficulty understanding the language or accent, cultural barriers such as a tendency to avoid admitting that something was not understood, sensory impairment, learning difficulties, boredom and difficulty with concentration

Problems with the medium: area too noisy, interruptions and distractions, poor quality connection if via phone or radio

Problems with message sender: poor preparation of instructions so they are ambiguous or contradictory, talking too fast or too slow, making assumptions about the receiver of the message and their understanding.

(4 P’s)

Question 26

Outline ways in which an organisation could encourage workers to be involved in setting and maintaining high standards of health and safety. (8)

Answer 26

• Give workers adequate information on relevant OHS matters and encourage them to make proposals.
• Consult in good time about changes or new initiatives.
• Seek to get views on how work is done before designing or changing procedures or work methods.
• Give ownership of procedures and their updating to workers
• Allow trials of tools, equipment and PPE
• Give protection from dismissal for H&S related actions such as stopping work or whistle-blowing on dangerous practices.
• Set up a just culture framework to focus on learning from reports or incidents an not blaming individuals.
• Allowing for contributions to decision-making e.g via H&S committees, having elected H&S reps and giving time during paid work hours to perform H&S functions.

Question 27

Using a workplace example, give the meaning of the term “hazard” (3)

Answer 27

A hazard is something with the potential to cause harm or loss.

Question 28

Using a workplace example, give the meaning of “risk” (3)

Answer 28

Risk is the probability/like-hood that the potential would be realised in terms possible consequence and severity (Injury, damage or harm).

Question 29

Outline the key stages of a risk assessment process, identifying the issues that would need to be considered at each stage. (10)

Answer 29

1. Identifying the hazards associated with the activities and tasks, including health hazards as well as safety hazards, categories of hazards permanent and temporary hazards
2. Identifying who might be harmed and how, including operators, maintenance staff, cleaners and visitors and special considerations; young and disabled.
3. Evaluating the likelihood and probable severity of harm that might be caused, assessing the adequacy of existing control measures, deciding whether additional controls should be introduced. Consider information relating to past incidents, supplier information about hazardous properties, information from the regulator and industry bodies, Consider the hierarchy of control and the requirements of reasonably practicable risk reduction.
4. Recording the significant findings of the assessment , in an appropriate format, considering the need for accessibility, the people who need to know the results of the risk assessment and any regulatory requirements
5. Review at a later date and revising the findings when necessary. Consider residual risks, rates of change, technological advancement, learning from investigations.

Question 30

Outline the criteria which must be met for the assessment to be ‘suitable and sufficient’ (4)

Answer 30

• Indicate the competence of the assessor together with any specialist advice that has been sought
• Should identify all significant hazards and risks arising from or connected with the activity to be carried out.
• Identify all the persons at risk including workers, other workers and members of the public with reference to those who might be particularly at risk.
• Evaluate the adequacy and effectiveness of existing control measures and identify other protective measures that may be required.
• Enable priorities to be set
• Record the significant findings of assessment and identify the period of time for which it is likely to remain valid.

Question 31

A manager is required to carry out a ‘suitable and sufficient’ risk assessment on work activity.

Identify possible sources of information that might help the manager to assess the risk effectively. (5)

Answer 31

Internal - accident, near miss and ill-health records, absence data, inspection and audit records, documentation and procedures, maintenance and repair records, risk assessments, hazard reports, H&S committee minutes, training records, work environment monitoring records.

External - legislation, codes of practice, guidelines, supplier and manufacturers information, standards, national and international statistics, research.

Question 32

A manager is required to carry out a ‘suitable and sufficient’ risk assessment on work activity.

Outline criteria that must be met for a risk assessment to be ‘suitable and sufficient’. (3)

Answer 32

Indicate the competence of the assessor together with any specialist advice that has been sought; Should identify all significant hazards and risks arising from or connected with the activity to be carried out; identify all the persons at risk including workers, other workers and members of the public with reference to those who might be particularly at risk; evaluate the adequacy and effectiveness of existing control measures and identify other proactive measures that may be required; enable priorities to be set; records the significant findings of the assessment and identify the period of time for which it is likely to remain.

Question 33

Identify reasons why young workers could be at greater risk of accidents at work (4)

Answer 33

lack of experience and risk awareness, more susceptible to peer pressure, cognitive development still in progress impacting on ability to perceive risks. Motivational challenges due to trainee status, or low pay. Physically still developing resulting in potential lack of strength and endurance, quicker to fatigue and more susceptible to the effects of some hazardous substances.

Question 34

Outline control measures that could be taken to minimise risks to young workers (4)

Answer 34

Avoid giving certain types of work to young people, e.g beyond their physical or mental capability, exposure to risks that are not obvious to the inexperienced, or exposure to extreme of temperature or shift work. Provide extensive induction training. Provide more extensive information, instruction and training. Provide mentoring and buddy system.

Question 35

PPE should only be considered after other control measures have been found to be ineffective or not practicable.

Give reasons why PPE should be considered, only after, other control measures.

Answer 35

• PPE only provides protection from health effects, I, does not prevent exposure.
• It only protects the person wearing the item, not others nearby
• It relies on the person wearing the PPE all the time, even when there may be only a low risk of exposure.
• It relies on the person fitting and wearing the PPE correctly.
• Many types of PPE (e.g respirators and gloves) must be matched to the types of hazardous substance involved, and the user may not have the knowledge to do this.
• PPE can have unintended adverse effects such as interference wit mobility, dexterity, senses (hearing, smell, eyesight).
• It can make communication difficult
• It can make the wearer too hot and lead to heat stroke or reduce effective work rate of workers
• It can have psychological effects such as create a sense of invulnerability which can lead to complacency and greater risk taking.
• There are also ethical problems - PPE tends to place responsibility on the worker, where this responsibility should site primarily with the organisation as the risk owner.