PAST PAPER QUESTIONS ELEMENT 5

MONITORING, REVIEW AND AUDIT LEARNING OUTCOMES

ACTIVE AND REACTIVE MONITORING
Question 1
Identif EIG!T "e#su$es t%#t &ou'd (e used ( #n O$)#nis#tion in o$de$ to "onito$ its
%e#'t% #nd s#fet *e$fo$"#n&e+ ,-.
Examiners were looking for answers containing measures such as:
rates of incidents, injuries and work- related ill-health;
actions taken by enforcement authorities;
the number of civil claims;
the results of inspections and environmental monitoring;
safety audit outcomes;
the degree of compliance with procedures (such as E usage!;
number of staff trained in health and safety; and
the results of medical and"or health surveillance#
$any candidates did not seem to appreciate that what was re%uired were measures of safety
performance rather than the methods that can be used to obtain the re%uired information#
&onse%uently, there were many short lists of tasks such as inspections, tours, surveys and audits
but with no indication of how these should be used to produce something measurable that can be
compared over time or with others#
Question /
Out'ine 0OUR *$o#&ti1e "onito$in) "et%ods t%#t &#n (e used in #ssessin) t%e %e#'t% #nd
s#fet *e$fo$"#n&e of #n o$)#nis#tion+ ,-.
'ealth and safety performance in the workplace can be monitored and assessed using a variety
of techni%ues and measures# (he %uestion re%uired candidates to outline proactive methods that
would include:
safety audits, safety inspections, safety surveys, safety tours,
safety sampling, benchmarking, and health surveillance#
)n general, responses to this %uestion were good although some candidates introduced reactive
methods, suggesting again at the %uestion had not been read with sufficient care#
Question 2
Out'ine TWO $e#&ti1e "e#su$es #nd TWO *$o#&ti1e "e#su$es t%#t &#n (e used in
"onito$in) #n o$)#nis#tion3s %e#'t% #nd s#fet *e$fo$"#n&e+ ,-.
'ealth and safety performance in the workplace can be monitored using a variety techni%ues and
measures# (his %uestion re%uired candidates to distinguish between those that might be
described as *
reactive* (assessing past failures to control risks! and those that are
*proactive* (identifying non-compliance with policy or procedures before actual harm
occurs!#
+eactive measures include accident and ill health records, civil claims enforcement actions
whereas proactive measures include the results of safety inspection and audits, environmental
monitoring records, assessments of health and safety training, the extent to which risk
assessments have been completed#
(he general response to the %uestion was reasonably good although some candidates appeared
to confuse the two terms which resulted in weaker answers#
WOR4PLACE INSPECTIONS
Question 1
,#. Identif t%e "#in to*i& #$e#s t%#t s%ou'd (e in&'uded in # *'#nned %e#'t% #nd s#fet
ins*e&tion of # 5o$6*'#&e+ ,-.
,(. Out'ine t%e $e7ui$e"ents fo$ 0OUR t*es of 5e'f#$e f#&i'it t%#t #n e"*'oe$ "ust *$o1ide
fo$ %is e"*'oees+ ,-.
,&. Des&$i(e t%e *ossi('e enfo$&e"ent #&tions t%#t "i)%t (e t#6en #)#inst #n e"*'oe$ fo$
f#i'u$e to *$o1ide #de7u#te 5e'f#$e f#&i'ities+ ,8.
)n part (a!, Examiners expected candidates to identify topic areas such as substances or
materials used, traffic routes and means of access"egress, work e%uipment, work practices (eg
manual handling!, work environment, electricity, fire precautions, first-aid and welfare facilities,
workstation ergonomics and housekeeping# ,ne different category of topic area, identified by
some and worthy of merit, is the list of action points from previous inspections#
(he identification of the main topic areas to be included in a planned inspection should have
given candidates the opportunity to gain marks easily since these topics are well covered by the
practical assessment# )ndeed, most candidates were able to do so## 'owever, a few seemed to
misunderstand the %uestion and set about explaining how to carry out an inspection rather than
what to look for#
)n their answers to part (b!, most candidates were able to identify the welfare facilities, namely
sanitary conveniences, washing facilities, a supply of drinking water, accommodation for clothing,
and facilities for changing, resting and eating# 'owever, the action verb was *outline* and those
who provided little more than a list gained correspondingly fewer marks# -etter candidates
realised what was re%uired and provided answers that were in greater depth and which outlined
the particular features of each of the facilities they had selected# .or instance, with respect to
sanitary facilities, appropriate reference was made to numbers of toilets, lighting, ventilation,
cleanliness and privacy#
)n part (c!, many candidates gained very few marks by not giving an ade%uate description of the
actions available to an enforcing authority when regulations have been breached# $ost
candidates alluded to the serving of either an improvement notice or a prohibition notice as
possible actions; a smaller number mentioned the possibility of prosecution# &andidates who
gained most marks for this part went on to describe the circumstances that would lead to the
issue of an improvement or prohibition notice and added that any prosecution would take place in
a $agistrates* &ourt# -etter candidates were able to differentiate between the two types of notice
in terms of their effects# $ore astute candidates were correct to point out that a prohibition notice
would be unusual in the case of inade%uate welfare facilities since rarely would such
circumstances involve a risk of serious personal injury#
Question /
An e"*'oe$ intends to i"*'e"ent # *$o)$#""e of $e)u'#$ 5o$6*'#&e Ins*e&tions fo''o5in) #
5o$6*'#&e #&&ident+
,i. Out'ine t%e f#&to$s t%#t s%ou'd (e &onside$ed 5%en *'#nnin) su&% ins*e&tions+ ,9.
,ii. Out'ine T!REE #ddition#' *$o#&ti1e "et%ods t%#t &ou'd (e used in t%e "onito$in) of
%e#'t% #nd s#fet *e$fo$"#n&e+ ,9.
,iii. Identif t%e *ossi('e &osts to t%e o$)#nis#tion #s # $esu't of t%e #&&ident+ ,-.
)n answering part (i! of the %uestion, candidates could have referred to such factors as:
the nature of the ha/ards in the workplace;
the composition and competence of the inspection team;
the areas to be inspected and the routes to follow;
the timing and fre%uency of the inspections;
the relevant legislation and standards against which the results of the inspection would be
judged;
the preparation and provision of checklists; and the action that should follow the
inspections(such as the procedures for reviewing and prioritising any remedial measures
found to be necessary!#
(he means of notifying and consulting with relevant staff prior to the inspection would also be
relevant# 0ome candidates misunderstood the %uestion and provided answers dealing with
the investigation of accidents, while others effectively produced inspection checklists that did not
address the breadth of the %uestion#
.or part (ii!, there was a number of additional proactive measures that could have been outlined#
(hese include:
audits(involving a comprehensive and independent examination of all aspects of an
organisation*s health and safety management systems against stated objectives!;
safety surveys(focusing on particular activities!;
sampling (involving the targeting of specific areas!; tours (where unscheduled, less
formal workplace inspections are carried out to check on issues such as housekeeping or
the use of personal protective e%uipment!;
benchmarking(where an organisation*s performance in certain areas is compared with that
of similar organisations!; and environmental and health monitoring#
1hile some candidates were obviously aware of these methods, they tended to list them rather
than provide the additional detail needed in response to the *action* verb that re%uired an outline#
(here were a few candidates who confused proactive and reactive methods (such as accident
investigation! and based their answers on the latter, for which no marks could be awarded#
art (iii! re%uired candidates to identify the possible costs to the organisation following the
accident# (hese would include:
the cost of lost production;
time lost by the employee"employees involved in the accident;
clean-up costs and
the possible repair of damaged plant and e%uipment;
a possible increase in insurance premiums;
the cost of legal representation in any subse%uent court proceedings and the fine that might
be
imposed;
any part of compensation payments as a result of a civil action (i#e# any excess agreed with
the insurance company!; and
intangible costs such as the effects on the business image of the organisation and
the morale of the workforce as a whole#
REVIEW O0 !EALT! AND SA0ET: PER0ORMANCE
Question 1
E;*'#in %o5 t%e fo''o5in) "# (e used to i"*$o1e s#fet *e$fo$"#n&e 5it%in #n
o$)#nis#tion<
,i. #&&ident d#t# ,8.
,ii. s#fet ins*e&tions+ ,8.
(he response to this %uestion was disappointing and many candidates appeared not to notice
that the %uestion re%uired an explanation of how accident data and safety inspections used to
improve safety# )nstead, some discussed in part (i!, how accident data are collected and, in part
(ii!, how an inspection should be carried out#
(he obvious use of accident data is to identify specific problem areas by recording instances
where control measures have failed# 'owever, analysis of the data allows general trends be
shown in order perhaps to identify common root causes, as well as comparisons made with
others in order to learn from successes elsewhere# 2ccident data can also help to raise
awareness in the minds of both managers and employees of health and safety in general, and of
specific problems in particular# )n addition, the collection of data costs to be calculated, which can
increase the likelihood of resources being allocated#
0imilarly, for part (ii!, the obvious purpose of safety inspections is to identify areas where
improvements are needed# )nspections may also affect the organisational safety culture
particularly where employees* views are sought as part of the inspection# )n this management
commitment to safety can be demonstrated, ownership of health and safe be shared and worker
morale can be improved by simple improvements being implemented at the time of an inspection#
Question /
Out'ine 5#s in 5%i&% #n o$)#nis#tion &#n "onito$ its %e#'t% #nd s#fet *e$fo$"#n&e+ ,-.
(he general response to this %uestion was reasonable with most candidates including various
types of monitoring techni%ues, both
active (eg audits, inspections! and
reactive analysis of accident"incident data and enforcement action!#
-etter candidates were able to take a slightly wider perspective and referred to such means as
benchmarking and health surveillance records#
Examiners were disappointed to note the number of candidates who appeared to have entered
the examination armed with a few generic-type answers, which they then tried, not very
successfully, to apply to this and other %uestions# candidates who perform well in the examination
are those who think about what is being asked and can then demonstrate their understanding by
applying their knowledge appropriately, rather than reeling off a list of items only some of which
are directly relevant to the actual %uestion#
Question 2
A %e#'t% #nd s#fet #udit of #n o$)#nis#tion %#s identified # )ene$#' '#&6 of &o"*'i#n&e 5it%
*$o&edu$es+
,i. Des&$i(e t%e *ossi('e $e#sons fo$ *$o&edu$es not (ein) fo''o5ed+ ,1=.
,ii. Out'ine t%e *$#&ti&#' "e#su$es t%#t &ou'd (e t#6en to "oti1#te e"*'oees to &o"*' 5it%
%e#'t% #nd s#fet *$o&edu$es+ ,1=.
)n answering part (i! of the %uestion, candidates suggested a range of possible reasons for health
and safety procedures not being followed by employees# )n the main, answers concentrated on:
inade%uate supervision and enforcement of the procedures by management,
a poor attitude towards health and safety generally(as an indication of a poor safety
culture!, and
issues relating to working conditions that may hinder compliance with procedures(such as
poor workstation design and inattention to ergonomic issues!#
.ewer candidates included other possibilities such as:
the procedures themselves being unrealistic or unclear,
literacy and language issues;
peer pressure and
other pressures or incentives to cut corners;
a failure by management to consult the workforce and
to provide the necessary information and training; and
the repetitive, tedious or complex nature of the tasks being performed#
.or part (ii!, candidates needed to outline practical measures that could be taken to motivate
employees to comply with the procedures# (hese should have included:
a display of commitment on the part of management;
the provision of a good working environment;
joint consultation and the involvement of employees in drawing up and reviewing the
procedures;
the setting of personal performance targets with due recognition when these are achieved;
the provision of information and training including tool-box talks and
the use of posters and notice-boards;
the introduction of job rotation; and, finally,
the taking of disciplinary action in cases where there is a deliberate failure to follow laid
down procedures#
(here were some reasonable responses to this %uestion but many candidates did not gain all the
marks that they might because they did not provide ade%uate depth to their answers# )t was
important in part(i!,for instance, for candidates to provide sufficient detail to indicate why the
particular issue identified might lead to a procedure not being followed#
Question 8
Out'ine t%e $e#sons 5% #n o$)#nis#tion s%ou'd "onito$ #nd $e1ie5 its !e#'t% #nd s#fet
*e$fo$"#n&e+ ,-.
2 number of candidates experienced problems with this %uestion by appearing to mistake the
words *the reasons why* for *how* and proceeding to outline the various methods by which health
and safety performance can be monitored and reviewed# (he need to read the %uestion carefully
and understand its purpose is advice that cannot be given too often#
2mong the reasons offered by better candidates were the following:
to identify substandard health and safety practices and conditions (perhaps by means of
workplace inspections!;
to identify trends in relation to different types of incident, or incidents in general (by analysis
of relevant incident data!;
to compare actual performance with previously set targets;
to *benchmark* the organisation*s performance against that of similar organisations or an
industry norm;
to identify whether control measures are in use and to assess their effectiveness; t
be able to make decisions on appropriate remedial measures for any deficiencies identified;
to set priorities and establish realistic timescales;
to assess compliance with legal re%uirements; and
to be able to provide a -oard of 3irectors or safety committee with relevant information#
2n additional reason for monitoring and reviewing health and safety performance is %uite
simply because there is a legal re%uirement to do so
1eaker answers to this %uestion never really progressed from *so that we can see how we are
doing*, whereas it was the reasons* why we should want to know how we are doing* that were
being sought# (he %uestion re%uired a little thought but allowed candidates with, a good
understanding of health and safety management systems to shine#
OCCUPATIONAL INCIDENT AND ACCIDENT INVESTIGATION, RECORDING AND REPORTING
T%e *$o&ess #nd *u$*ose of in1esti)#tin) o&&u*#tion#' in&idents
Question 1
Out'ine t%e 6e *oints t%#t s%ou'd (e &o1e$ed in # t$#inin) session fo$ e"*'oees on t%e
$e*o$tin) of #&&idents>in&idents+ ,-.
(he overall response to this %uestion was rather poor# )t was clear that a number candidates
considered the word *reporting* solely in relation to the +eporting of )njuries 3iseases and
3angerous ,ccurrences +egulations 4556# ,thers appeared to missed reference to training and
simply outlined suitable internal reporting procedures# 1hile such procedures would form part of
a training session, the actual procedures did not real form part of an answer to this %uestion#
7ood answers to this %uestion referred to the need in a training session to explain the importance
of reporting accidents and incidents ( legal, investigative and monitoring reasons!, the types of
incident that the organisation re%uires to be reported, the lines of reporting, how to complete
internal documents a forms, and responsibilities for completing the accident book and for
complying with statutory reporting duties#
Question /
Out'ine t%e initi#' #&tions t%#t s%ou'd (e t#6en fo''o5in) # "#?o$ in?u$ #&&ident #t 5o$6+,-.
)n answering this %uestion, candidates were expected to outline actions such as:
)solating services and making the area safe;
administering first-aid treatment and
summoning the emergency services;
informing the next of kin;
notifying the enforcement authority by the %uickest practicable means;
collecting initial evidence such as photographs and sketches and
the names of witnesses; and,
setting up the accident investigation#
0ome candidates offered outlines of the accident investigation process itself and referred to the
need to take action to avoid a similar occurrence once the investigation had been completed#
(hese were matters that were considered to be too far removed from the *initial* actions as
stipulated in the %uestion#
,ther candidates saw the %uestion purely in relation to +)33,+ and ignored altogether the need
to care for the )njured person, which should have taken priority over all else# )n fact, reporting the
injury by an approved means, following its notification, may or may not be an *initial* action since it
must be done within ten days#
2 few candidates made appropriate reference in this respect to the '0E*s )ncident &ontact
&entre#
,nce again, there were candidates who did not take maximum benefit from the marks 2vailable
by providing a list rather than an outline; others went to the other extreme by providing far too
much detail on a limited number of points#
T%e o$)#ni@#tion#' $e7ui$e"ents fo$ $e&o$din) #nd $e*o$tin) o&&u*#tion#' in&idents
Question 1
,#. Gi1e 0OUR $e#sons 5% #n O$)#nis#tion s%ou'd %#1e # sste" fo$ t%e inte$n#' $e*o$tin)
of #&&idents+ ,8.
,(. Out'ine f#&to$s t%#t "# dis&ou$#)e e"*'oees f$o" $e*o$tin) #&&idents #t 5o$6 ,8.
(here are a number of reasons why an ,rganisation should have a system for the internal
reporting of accidents# (hese include the compilation of accident statistics and the identification
of trends; to meet the re%uirements of +egulations; so that an investigation may be carried out to
prevent a recurrence; for use in civil claims or to satisfy insurance re%uirements; to help in the
identification and reduction of loss; and to inform the review of risk assessments#
)n answering part (b!, candidates were expected to outline such factors as:
ignorance of the reporting procedures;
peer pressure;
possible retribution by management;
to preserve the company*s or department*s safety record (particularly when an incentive
scheme is in operation!;
to avoid receiving first-aid or medical treatment (for whatever reason!;
overcomplicated reporting procedures; and
lack of obvious management response to earlier reported accidents#
Question /
Re*'#&e"ent o$ $e*#i$ of d#"#)ed *'#nt #nd e7ui*"ent is # &ost t%#t #n o$)#nis#tion "# f#&e
fo''o5in) # 5o$6*'#&e #&&ident+ List EIG!T ot%e$ *ossi('e &osts to t%e o$)#nis#tion
fo''o5in) # 5o$6*'#&e #&&ident+ ,-.
(here were many possible responses to this %uestion and candidates could have chosen# .rom a
long list of possible costs# (hey include:
costs associated with lost production,
damage to materials,
first-aid, investigation and remedial action,
additional administration replacement staff,
increases in insurance premiums as well as incurred,
criminal and civil actions (the imposition of fines, parts of compensation payments not
covered by insurance a48 legal representation!#
(here may also be intangible costs following an accident arising from:
a poor corporate image and
a possible detrimental effect on employee morale resulting in reduced productivity#
(he %uestion was generally well answered and, since only a list was re%uired, it resented an
opportunity for candidates to gain marks relatively %uickly# $ost took advantage of this
opportunity#
Question 2
An e"*'oee is &'#i"in) &o"*ens#tion fo$ in?u$ies $e&ei1ed du$in) #n A&&ident in1o'1in) #
fo$6'ift t$u&6+ Identif t%e do&u"ented info$"#tion t%#t t%e e"*'oe$ "i)%t d$#5 to)et%e$
5%en *$e*#$in) # *ossi('e defen&e #)#inst t%e &'#i"+ ,-.
(he %uestion re%uired candidates to consider a range of documents that might enable an
employer to defend a civil claim in the situation described# 0uch information can be broadly
divided into:
that relating to the circumstances of the accident (which might differ from the description
offered by the claimant! and
that re%uired to demonstrate that the employer had done everything reasonable to prevent
the accident#
.or the former, most answers included:
reference to the accident book record,
to the accident .orm (if applicable!and
to an accident investigation report,
including statements made by witnesses or supervisors#
)n terms of demonstrating compliance with statutory and &ommon law duties, relevant
documents might include:
the organisation*s health and safety policy;
risk assessments and
any written safe systems of work relating to the activity;
training records;
statutory examination records;
$aintenance records;
inspection reports and
health and safety &ommittee minutes; and
documents relating to previous accidents and corrective actions taken#
)nformation relating to the claimant(eg involvement in previous accidents, disciplinary
records, etc!could also be relevant#
(his was a reasonably well answered %uestion although a number of candidates decided that it
was a simple *negligence* and referred in general terms to the %uestion employer*s duty of care
and to possible defences based on the standard tests# 0uch answers often neglected to mention
any documents at all# 0ome candidates ignored the reference to a fork-lift truck, which restricted
their answers#