IGC1, Element 1, Foundation

NEBOSH IGC1: Element 1, The Foundations in Health and Safety
Topic 1: The Scope and Nature of Occupational Health and Safety
BARRIERS TO GOOD STANDARDS OF HEALTH AND SAFETY
There are many barriers to good standards of health and safety in a workplace:
Complexity - workplaces can be complicated areas, involving the co-ordination of many people
performing many different activities. Finding a solution to a specific health and safety problem
or issue can be complex, requiring extensive background knowledge and an awareness of the
possible consequences of the various courses of action that are available.
Conflicting demands - there are often competing and conflicting demands placed upon people
and organisations. A common conflict of interest is that between the need to supply a product or
a service at an appropriate speed so as to make a profit, and the need to do so safely and without
risk to peoples health. Another conflict can be created by the need to comply with different types
of standards at the same time, e.g. health and safety law as well as environmental protection law.
Behavioural issues - good health and safety practice often relies on the perfect behaviour of
individuals, and people sometimes do not behave in this ideal way. The solution to a health and
safety problem usually requires a worker to carry out their job in a particular way. For example, a
worker on a construction site should wear a hard hat to protect themselves from falling objects.
But people are not robots; they do not behave as they are supposed to all the time. Workers
sometimes make mistakes (they do the wrong thing thinking that it is the right thing to do).
Sometimes they deliberately do the wrong thing, knowing that it is wrong, but doing it anyway.
The fact that health and safety standards are affected by worker behaviour can be a significant
barrier to maintaining good standards in a workplace.
Prepared by: Shahzaib Usman Page 1

DEFINITIONS
The topic of health and safety makes use of key words and phrases. Some important definitions
are:
Health - The absence of disease or ill-health. For example, asbestos creates a health risk because
if you inhale asbestos dust you may contract lung cancer (a disease) at some stage later in life
(perhaps 10 or 20 years after you inhaled the dust). Health relates not only to physical ill-health
but also to psychological ill-health (e.g. exposure to extreme stress can lead to nervous
breakdown).
Safety - The absence of risk of serious personal injury. For example, walking under a load
suspended from a crane during a lifting operation is not safe because if the load falls serious
personal injury or death could result. Staying out of the danger area results in safety.
Welfare - Access to basic facilities such as toilet facilities, hand-wash stations, changing rooms,
rest rooms and places where food can be prepared and eaten in relatively hygienic conditions,
and drinking water and basic first-aid provision.
Q No. 1: Why might the managers of an organisation not consider health and safety to be a
priority?
Ans: Health and safety has to compete with other management priorities, particularly those
associated with the production of goods and services, which is often the main focus of an
organisation. It may be seen as an unproductive cost, which conflicts with the requirement to
keep costs low.
Q No. 2: Outline the meaning of the following terms:

a) Health;
b) Safety;
c) Welfare;
d) Environmental protection.
Ans: Part (a)

The term health can be defined as a state of well-being in both a physiological and
psychological sense.
In occupational terms, it would include not suffering for example from fatigue, stress or noise
induced deafness.
Part (b)
Safety can be defined as the absence of danger or physical harm to persons, extending in the
workplace to things such as equipment, materials and structures.
Part (c)

The term welfare relates to the provision of workplace facilities that maintain the basic well-
being and comfort of the worker such as eating, washing and toilet facilities which enable them
to fulfil their bodily functions.
Part (d)
Environmental protection may be defined as a measure used to prevent harm to the
environment of the world. It prevents harm to air, water, land and natural resources providing
protection to flora, fauna and human beings and their inter-relationships.
Topic 2: Reasons for Maintaining and Promoting Good Standards of Health and Safety
Organisations and individuals have to manage health and safety standards within the workplace
for various reasons. These reasons can usually be grouped under three main headings: moral,
social (or legal) and economic.
MORAL EXPECTATIONS OF GOOD STANDARDS OF HEALTH AND SAFETY
When health and safety is not managed properly people get killed and injured in gruesome ways,
or suffer terrible diseases that have a massive impact not only on them, but also their dependants,
families, friends and colleagues. Society as a whole considers these events to be morally
unacceptable, and injury or ill-health should not be a price that has to be paid in order for the
worker to feed their family. Employers (through management) provide the premises and
equipment and put in place the working practices that employees use to produce the goods and
services from which employers earn profits. To that extent employers can be said to gain from
the conditions in the workplace.
In return, they provide an income for employees, but also have a moral responsibility to provide
safe and healthy working conditions.
SOCIAL EXPECTATIONS
The social (or legal) reasons for managing health and safety relate to the framework of
international and national laws that govern the conduct of businesses and organisations.

The legal responsibility for health and safety at work rests primarily on the employer. The
employer has a duty to provide the following:
1) Safe Place of Work - The employer creates the place of work, which should be
reasonably safe and without risk to health. What is considered reasonable may vary
with the type of work. The employer should also provide safe access to and from the
workplace.
2) Safe Plant and Equipment - All the machinery, tools, plant and equipment used by
employees at work should be reasonably safe and without health risk. Exactly what this
means will depend on the type of work being carried out. The greater the risk involved,
the greater the care that must be taken. For example, machinery would need to be
inspected; serviced; repaired and replaced in a steel-making factory, whereas in an office
a very simple inspection regime might be sufficient. A worker inspects equipment to
ensure that it is safe
3) Safe Systems of Work - There should be recognised procedures for the safe conduct of
all work activities. These procedures should cover all foreseeable possibilities, e.g. the
operation of drilling equipment in different types of weather, rather than just a set of rules
that ensure safety when the weather is good. Procedures should cover the routine day-to-
day activities of the organisation and the nonroutine, occasional or one-off activities, as
well as any foreseeable emergencies that might arise.
4) Training, Supervision and Competency of Staff - Workers must be able to carry out the
necessary procedures. Employers have a duty to provide appropriate training so that
workers are aware of the hazards and risks inherent in their work, the safe systems of
work and the emergency procedures. This training can be reinforced by providing
information and instruction. Employers should supervise workers to ensure that they are
carrying out their work with minimal risk to themselves and others. This does not mean
that supervisors have to stand and watch every worker at all times; they just have to
provide adequate levels of supervision. Finally, an employer should ensure that all
workers, supervisors and managers are competent.
THE BUSINESS CASE FOR HEALTH AND SAFETY
The business case for health and safety is simply that accidents and ill-health cost money. When
an accident occurs there will be direct and indirect costs associated with that event. Some of
these losses can be insured against, but many cannot. Accidents and ill-health can significantly
affect the profitability of an organisation and, in some cases, can put an organisation out of
business.
Direct and Indirect Costs
When an accident occurs there are two types of losses that the organisation may face:
a) Direct costs - the measurable costs arising directly from the accident.
b) Indirect costs - those which arise indirectly as a consequence of the event. Indirect costs
are often difficult to quantify precisely and may be hard to identify.

Examples of direct costs:

1) Fines in the criminal courts.
2) Compensation payable to the victim, which is likely to be met by insurance cover and
will therefore result in an increase in insurance premiums.
3) First-aid treatment.
4) Worker sick pay.
5) Repairs to, or replacement of, damaged equipment and buildings.
6) Lost or damaged product.
7) Lost production time while dealing with the injury.
8) Overtime to make up for lost time.
9) Costs associated with the rehabilitation of the injured worker and their return to work.
Examples of indirect costs:

1) Loss of staff from productive duties in order to investigate the incident, prepare reports,
undertake hospital visits, deal with relatives, attend court proceedings.
2) Loss of staff morale (which impacts on productivity, quality and efficiency).
3) Cost of remedial action following an investigation, e.g. change of process or materials
and/or the introduction of further control measures.
4) Compliance with any enforcement notice served.
5) Cost of recruiting and training temporary or replacement labour.
6) General difficulties in recruiting and retaining staff as an indirect result of the accident.
7) Loss of goodwill of customers following delays in production and fulfilling orders.
8) Activation of penalty clauses for failing to meet delivery dates.
9) Damage to public image and business reputation.
10) Damage to industrial relations, perhaps leading to industrial action (e.g. strikes)
Many of the direct and indirect costs associated with workplace accidents are uninsured for these
reasons. It has been estimated that uninsured losses are between 8 and 36 times greater than
insured losses.
Examples of possible insured and uninsured losses include:

EMPLOYERS LIABILITY COMPULSORY INSURANCE

covers the employers liability in the event of accidents and work-related ill health to
employees and others who may be affected by their operations;
ensures that any employee who successfully sues his/her employer following an accident
is assured of receiving compensation irrespective of the financial position of the
employer; and
is a legal duty in many countries.
Q No. 3: In three words sum up the reasons why an organisation should manage health and
safety.
Ans: Moral, economic and social (or legal) reasons.
Q No. 4: Give three insured costs and three uninsured costs that might arise from a workplace
accident.
Ans: Insured costs: damage to plant, buildings and equipment; compensation paid to workers;
medical costs; legal costs (civil claims).
Uninsured costs: production delays or down time; loss of raw materials; accident investigation
time; criminal fines and legal costs; sick pay for injured workers; overtime to make up for lost
production; hiring and training new employees; loss of business reputation.
Q No. 5: Why maintain good health and safety management?
Ans: MORAL REASONS

Need to provide a reasonable standard of care and ethical reasons to reduce:
accident rates
industrial disease and ill-health rates.
SOCIAL REASONS

These include:
societal expectation of good standards of health and safety
a duty of care to provide:
a safe place of work, including access and egress
safe plant and equipment
a safe system of work
safe and competent fellow employees; and
adequate levels of supervision, information, instruction and training.
ECONOMIC REASONS
Poor health and safety management can lead to:
direct and
indirect costs.
Good health and safety management can lead to:

a more highly motivated workforce, resulting in an improvement in the rate of production
and product quality;
improved image and reputation of the organisation with its various stakeholders.
Q No. 6: Outline the three main reasons why manage health and safety and explain which is the
most important of those reasons.
Ans: The Moral, Legal and Financial are three main reasons for promoting good standards of
health and safety within an organization.
The most important reason is MORAL because, we all have moral obligation not to cause harm
to others. Employers have a moral obligation toward, their employees and others. Moral is
increasingly important at a time when employers go to great lengths to encourage their
workforce to give commitment.
Q No. 7: Outline possible consequences of not achieving good standards of health and safety.
Ans: Recognition of the financial and legal implications of poor health and safety performance
should be outlined, and include the following considerations:
1) Costs of accidents and ill-health in terms of lost production
2) Loss of key personnel due to accidents and or ill health or even leaving the company for
safer environments (next point)
3) Replacement staff costs to cater for those off work due to ill health or injury or those
leaving the business to go elsewhere for fear of their health and safety
4) Investigation costs relating to accidents and incidents are a lot higher than management
and others realise
5) Higher insurance premiums will result if the claims history or risk rating of the company
is adverse
6) Equipment/plant damage and replacement costs

7) Legal defence costs that need to be paid in order for a defence to be made by the
organisation
8) Fines for breaches of health and safety compliance
9) Possible imprisonment of persons at various levels for not adhering to the required level
of legislative compliance i.e. duty of care.
10) Product quality could be affected, as persons who feel that they are not being suitably
protected will not have the same degree of care as those that feel their health and safety is
being considered
11) Resource allocation if adequate resources are not allocated to health and safety then
there is every likelihood deficiencies will arise which may include non compliance with
recognised legislative and best practice standards
12) Public and employee relations
Q No. 8: Replacement or repair of damaged equipment is a cost that an organisation may incur
following an accident at work.
List EIGHT other possible costs to the organisation following a workplace accident.
Ans: Direct costs

These are costs which are directly related to the accident and may be insured or uninsured.
Insured direct costs normally include:
Claims on employers and public liability insurance
Damage to buildings, equipment or vehicles
Any attributable production and/or general business loss.
Uninsured direct costs include:
Fines resulting from prosecution by the enforcement authority
Sick pay
Some damage to product, equipment, vehicles or process not directly attributable to the
accident (e.g. Caused by replacement staff)
Increases in insurance premiums resulting from the accident
Any compensation not covered by the insurance policy due to an excess agreed between
the employer and the insurance company
Legal representation following any compensation claim.
Indirect costs
These are costs which may not be directly attributable to the accident but may result from a
series of accidents. Again these may be insured or uninsured.
Insured indirect costs can include:
A cumulative business loss
Product or process liability claims
Recruitment of certain replacement staff.
Uninsured indirect costs include:
Loss of goodwill and a poor corporate image
Accident investigation time and any subsequent remedial action required
Production delays

Extra overtime payments

Lost time for other employees, such as a first aider, who attend to the needs of the injured
person
The recruitment and training of most replacement staff
Additional administration time incurred
Lower employee morale possibly leading to reduced productivity
Q No. 9: List EIGHT possible costs to an organisation when employees are absent due to work-
related illhealth.
Ans: There are a range of costs that have to be considered has having an impact on the
organisation, including, but not limited to:
1) Replacement of staff
2) Retraining those who will be replacing those absent
3) Project delays
4) Medical costs
5) Payments while the person is off work
6) Compensation costs (civil)
7) Defence costs of a criminal and/or civil action
8) Adverse publicity
9) Loss of staff motivation which will impact productivity
10) Revision of work processes
11) Investigation costs
Topic 4: Role of National Governments and International Bodies

Workers rights are embodied in the ILO Declaration on Fundamental Principles and Rights at
Work:
1) Freedom of association the right of workers and employers to form and join
organisations of their choice.
2) Freedom from forced labour.
3) Freedom from discrimination.
4) Opposition to child labour.
The ILO Code of Practice Ambient factors in the workplace specifies that workers and their
representatives should have the right to:
a) be consulted regarding any hazards or risks to health and safety from hazardous factors at
the workplace;
b) inquire into and receive information from the employer regarding any hazards or risks to
health and safety from hazardous factors in the workplace;
c) take adequate precautions, in co-operation with their employer, to protect themselves and
other workers against hazards or risks to their health and safety;
d) request and be involved in the assessment of hazards and risks to health and safety by the
employer and/or the competent authority, and in any subsequent control measures and
investigations;
e) be involved in the inception and development of workers health surveillance, and
participate in its implementation; and
f) be informed in a timely, objective and comprehensible manner:
1) of the reasons for any examinations and investigations relating to the health hazards
involved in their workplace;
2) individually of the results of medical examinations, including pre-assignment medical
examinations, and of the subsequent assessment of health.
Enforcement notices

There are two types of enforcement notice.
Improvement Notice This identifies a specific breach of the law and specifies a date by which
the situation is to be remedied. An appeal may be made to the Employment Tribunal and must be
made within 21 days. The notice is then suspended until the appeal is either heard or withdrawn.
There are five main grounds for an appeal:
1. The inspector interpreted the law incorrectly.
2. The inspector exceeded his/her powers.
3. The breach of the law is admitted but the proposed solution is not practicable or reasonably
practicable.
4. The time allowed to comply is too short.
5. The breach of the law is admitted but the breach is so insignificant that the notice should be
cancelled.
Prohibition Notice This is used to halt an activity which the inspector feels could lead to a
serious personal injury. The notice will identify which legal requirement is being or
is likely to be contravened. The notice takes effect as soon as it is issued. As with the
improvement notice, an appeal may be made to the Employment Tribunal but, in this case, the
notice remains in place during the appeal process. There are two forms of prohibition notice:
1. an immediate prohibition notice this stops the work activity immediately until the
specified risk is reduced;
2. a deferred prohibition notice this stops the work activity within a specified time limit.
CONSEQUENCES OF NON-COMPLIANCE
A breach of health and safety legislation is usually a criminal offence - wherever you are in the
world.
Failure to meet legal standards might lead to:
Formal enforcement action: an enforcement agency might force an employer either to
make an improvement within the workplace within a given time period, or to stop
carrying out high-risk activities altogether until improvements are made. Failure to
comply with formal enforcement action is usually considered to be an offence in itself.
Prosecution of the organisation in the criminal courts: successful prosecution might
result in punishment in the form of a fine.
Prosecution of individuals, such as directors, managers and workers: successful
prosecution might result in punishment in the form of a fine and/or imprisonment.
As well as the criminal law consequences there is also the matter of compensation for
workers and others injured by a workplace accident. Depending on the region/country
concerned, this might involve the worker:
Taking legal action against their employer through the civil legal system, and having to
prove that their employer had been negligent and was therefore to blame for their injury.
Claiming compensation from national or regional compensation schemes, with no
requirement to prove negligence or blame through the use of the legal system.

CONSEQUENCES OF NON-COMPLIANCE
Loss of competitive advantage
Inability to compete for certain contracts
Fines
Imprisonment.
SOURCES OF INFORMATION ON NATIONAL STANDARDS

1) Health and safety legislation;
2) HSE publications, such as Approved Codes of Practice, guidance documents, leaflets,
journals, books and their website;
3) European and British Standards;
4) International Labour Organization (ILO);
5) Occupational Safety and Health Administration (USA);
6) European Agency for Safety and Health (EU);
7) Worksafe (Western Australia);
8) Health and safety magazines and journals;
9) Information published by trade associations, employer organisations and trade unions;
10) Specialist technical and legal publications;
11) Information and data from manufacturers and suppliers; and
12) The internet and encyclopaedias.
Q No. 10: Identify three of the legal duties that an employer has to comply with.
Ans: Any three from:

To provide workplaces and work equipment, and use work methods, which are safe and
no risk to health.
To provide appropriate instructions and training.
To provide necessary supervision.
To put in place health and safety arrangements adapted to suit the size and nature of the
undertaking.
To provide any necessary personal protective clothing and equipment free of charge.
To ensure that the hours of work do not adversely affect employees safety and health.
To remove any extreme physical and mental fatigue.
To stay up-to-date with knowledge in order to comply with the above.
Q No. 11: Identify two of the legal duties that a worker has to comply with.
Ans: Any two from:

Take reasonable care of their own safety and that of other people who might be affected
by the things that they do and the things that they fail to do.
Comply with safety instructions and procedures.
Use all safety equipment properly and not tamper with it.
Report any situation which they believe could be a hazard and which they cannot
themselves correct.
Report any work-related accident or ill-health.

Q No. 12: What are the consequences for an employer of non-compliance with health and safety
responsibilities?
Ans: Enforcement action or prosecution through the criminal courts by the relevant authorities.
Compensation claims from the injured victims, perhaps resulting in action through the civil
courts.
Q No. 13: Identify the possible costs that an organisation may incur as a result of inadequate
standards of workplace health and safety.
Ans: The results of providing inadequate standards of workplace health and safety are generally:
An increase in accidents and ill-health of the workers. Consequently an organisation suffers
direct costs such as those arising from:
1) Lost production and time dealing with the subsequent investigations;
2) Those arising from plant damage and replacement and clean up activities;
3) Paying those involved during absences as a result of accident or ill-health;
4) Having to recruit and train replacement labour;
5) Costs arising from the possibility of action by the enforcement authorities or
6) By a civil claim from the injured parties and
7) The inevitable rise in insurance premiums.
There are also indirect costs related to:

1) Poor staff morale which could lead to industrial unrest and high staff turnover and
2) The damage done to the organisations reputation which could lead to a loss of orders and
a subsequent decrease in its profitability.
The better answers structured their responses under the general headings of direct and indirect
costs.
Q No. 14: Outline the economic benefits that an organisation may obtain by implementing a
successful health and safety management system.
Ans:
1) Reduces risk to an organisation risk assessments allow the identification and onwards
management of risk
2) Reduced risk allows/attracts reduced insurance liability coverage
3) Ensures legal compliance and as a consequence helps the organisation to avoid costly
legal as well as civil actions
4) Having less accidents/incidents means that time is more productive and as such would
improve overall financial performance (could even have quality improvement
connotations).
5) There will be cost savings to employers (as stated earlier), individuals as they will not
have earnings affected due to accident/ill-health absence, the economy would benefit by
having additional availability of cash and of course society would not be faced with the
financial burden of caring for persons who are ill/recovering/disabled due to poor and /or
unsafe working practices.

6) It would allow target setting and as such economic benefit would be obtained by the
company being aware of their performance and effectively managing it accordingly.
Q No. 15:
(a) Explain reasons for maintaining and promoting good standards of health and safety in the
workplace.
(b) Identify sources of information that an organisation may use to help maintain and promote
good standards of health and safety in the workplace.
(c) Outline possible reasons why good standards of health and safety in the workplace may not
be achieved.
Ans: Part (a),

Answers had structured responses around the moral, legal, social and economic arguments for
maintaining good standards of health and safety within an organisation.
The moral argument centres on the need to provide a reasonable standard of care and to reduce
the injuries, pain and suffering caused to workers by accidents and ill health
The legal reasons centred on compliance with the law and ILO and other international standards
to avoid criminal penalties and to comply with the employers common law duty to take
reasonable care of workers.
Social reasons being concerned with the need to provide a safe place of work, safe plant and
equipment, safe systems of work, competent workers and a high standard of training and
supervision.
The economic benefits would include:

A more highly motivated workforce resulting in an improvement in the rate of production
and product quality;
The avoidance of costs associated with accident investigations;
The avoidance of costs associated with accidents such as the hiring or training of
replacement staff and
The possible repair of plant and equipment;
Securing more favourable terms for insurance and maintaining the image and reputation
of the organisation with its various stakeholders.
Part (b),
Sources of information that an organisation may use to help maintain and promote good
standards of health and safety include:
Legislation including directives and regulations;
ILO codes of practice, conventions, guidelines and recommendations together with those
produced nationally;
Information produced by the world health organisation (who) and the european agency
for safety and health at work;
International standards such as those from iso and bsi;

Guidance produced by the various enforcement agencies;

Manufacturers data;
Information produced by trade associations, trade unions and professional bodies;
Accident and ill-health data and
Information emanating from completed risk assessments, inspections and audits.
Part (c)
Reasons why good standards of health and safety may not be achieved in the workplace include:
1) A lack of management commitment;
2) Poor morale among the workforce and a lack of motivation;
3) Frequent changes in the organisation;
4) A lack of resources possibly due to a harsh economic climate;
5) Conflicting demands with priority being given to production targets and meeting
deadlines;
6) Poor communication and consultation with the workforce;
7) A failure to provide adequate training leading to a lack of awareness amongst workers;
8) A failure to complete risk assessments and to produce safe systems of work and method
statements; and
9) Generally poor standards of health and safety in the industry leading to a lack of peer
pressure.
Q No. 16: Identify possible costs to an organisation following an accident in the workplace.
Ans: Possible costs such as those associated with:

1) Lost production,
2) Staff replacement
3) Staff training / retraining
4) Staff absence,
5) Sick pay,
6) Temporary replacement with the need for additional training,
7) Repair of damaged plant and equipment,
8) Damage to products,
9) Investigation and remedial action,
10) Additional administration incurred,
11) An increase in insurance premiums,
12) Fines and compensation awarded,
13) Court and other legal representation.
14) Costs arising from a loss of business image and
15) The detrimental effect on worker morale resulting in reduced productivity.
Q No. 17: Identify possible consequences to workers injured in an accident at work.
Ans: Possible consequences to a worker injured in a workplace accident include:

Pain and suffering and even disability or death with its resultant impact on family life;
loss of earnings and future earning capacity following time off work and even loss of
current employment;

Medical expenses and loss of confidence and motivation giving rise to social and
psychological problems.
Q No. 18: Replacement and retraining of staff is a cost that an organisation may face following a
workplace accident.
Identify EIGHT other possible costs to an organisation when a serious accident has occurred at
work.
Ans: Possible costs include:

1) Those associated with lost production;
2) Staff absence and sick pay;
3) Repair of damaged plant and equipment;
4) Damage to products;
5) Investigation and remedial action;
6) Additional administration incurred;
7) An increase in insurance premiums;
8) Fines and damages awarded;
10) A loss of business image and
11) The detrimental effect on employee morale resulting in reduced productivity.
You need to read the question this one looks very similar to a previous one but here there is
clear mention that replacement and retraining of staff have already been considered.
Q No. 19: Outline reasons why an employee might require additional health and safety training
at a later stage of employment within an organisation.
Ans: When a work has been employed by an organisation for some time there may be a need for
additional safety training. These needs can vary, and may include:
A general refresher as over a period of time a persons focus may shift and thus they
may not be as safety focused as they should be this may be an issue if a person has not
had an accident and therefore may become complacent.
To ensure that there is a consistent approach to safe systems of work which may have
changed over time and therefore the worker may be somewhat out-dated in their
knowledge.
The workplace and work practices may have changed without the worker being
consciously aware of them.
The worker may have moved locations within the same premises and is not aware of
some of the potential hazards in the present location.
It may identify further training needs of the individual this may be an issue with
technological advancement.
Ensuring that the worker remains positive in their heath and safety attitude and helps to
foster a better and more positive health and safety culture

Q No. 20: Outline the factors that may determine the level of supervision an employee should
receive during their initial period within a company.
Ans: The level of supervision required during their initial period with a company will be
dependant on a host of factors and may include some, or all of the following:
1) Complexity of the work to be undertaken
2) Age of the individual
3) The attitude of the individual
4) Any special needs
5) Previous experience
6) Previous situation reports (past accident situations)
7) The peer group attitude
8) Type of PPE that may be required and the need for correct use (i.e. harness can fall into
incorrect use over a time period)
9) Level of supervision available
10) Type of work being undertaken
11) Substances used and likely effects
12) Legal requirements
Q No. 21: Identify the factors to be considered while developing a health and safety training
programme for an organization
Ans:
1) The objectives of the training - what do you hope to achieve by giving the training and
what the participants will obtain from it
2) The trainer - whether in-house or external - will have a major impact on the effective
presentation of the training and thus the information retention of the participants
3) The venue in which the training is held can have a significant effect on the training in
general if it is in poor condition or poorly resourced, the training will be less successful
than if it is at least in a good condition and comfortable
4) The number of people involved in the training will affect the quality of the training in
some cases larger numbers allow for greater group interaction, which can help, whilst in
other cases smaller numbers allow for more teacher - participant interaction which can
also help
5) The means of delivering the teaching will significantly affect most of the other factors
here, although it does not necessarily have to be the deciding factor
6) The company culture and the support from the management team is also a significant
factor in the planning of training delivery
Q No. 22: Identify the various measures that might be used to assess the effectiveness of the
training
Ans: There are a range of measures that may be used to assess the effectiveness of training,
including:
1) Participation of attendees
2) Level of response

3) Ability to correctly respond to questions

4) Being able to demonstrate understanding
5) On the job follow-up for compliance
6) Reduction of accidents / incidents in aspects of the training delivered
7) Formal feedback from attendees
8) Personal feedback
9) Others asking for similar training
10) Attentiveness throughout
Q No. 23: Outline the reasons why it is important for an employee to keep the training records
of his employees
1) May be legal requirements
2) May assist in developing training plans / identifying gaps
3) May be required for evidence following an incident / accident
4) May reduce penalties in a court of law
5) Insurance premium reviews
6) Completing risk assessments
7) CPD for the worker
8) To save duplication of training
9) Management system compliance.
Q No. 24:
(a) Outline the main health and safety responsibilities of employers.

(b) Identify actions an enforcement authority might take if it finds that an employer is not
meeting its responsibilities.
Ans: Part (a)

The main health and safety responsibilities of an employer are:
1) To provide and maintain safe plant and equipment,
2) To carry out risk assessments
3) To introduce safe systems of work;
4) To ensure the safe use, storage, handling and transport of articles and substances;
5) To provide and maintain a safe workplace, including access and egress;
6) To provide a safe working environment with adequate welfare facilities including first
aid,
7) To provide information, instruction, training and supervision for workers.
8) To prepare and revise a health and safety policy;
9) To cooperate with and consult with workers;
10) To secure competent health and safety advice and to cooperate with other employers at
the workplace.
This part of the question was generally well answered though some candidates continue to
provide a list instead of the additional detail required by an outline question.
Part (b),
1) Possible actions should be identified, such as:

2) Giving advice or warning either verbally or in writing;

3) Requiring that an improvement is made within a given period of time;
4) Requiring the cessation of work until improvements in health and safety are made; and
5) Taking formal legal proceedings such as prosecution.
Q No. 25: Outline the main health and safety responsibilities of:
(a) Employers;
(b) Workers.
Ans: Part a)
The main health and safety responsibilities of an employer are:
1) To provide and maintain a safe workplace including access and egress together with safe
plant and equipment;
2) To carry out risk assessments and to introduce safe systems of work;
3) To ensure the safe use, storage, handling and transport of articles and substances;
4) To provide a safe working environment with adequate welfare facilities including first
aid;
5) To provide information, instruction, training and supervision for workers.
6) To prepare and when necessary to revise a health and safety policy;
7) To co-operate with and consult with workers; to secure competent health and safety
advice and
8) To cooperate with other employers at the workplace.
Part b)
Workers have the responsibility:
1) To cooperate with their employer,
2) To take reasonable care for their own safety and that of their fellow workers
3) To report accidents and any dangerous situations at the workplace.
4) Not to misuse any equipment provided for them,
5) To follow site rules and
6) Should not take alcohol or drugs during their working time.
Q No. 26:
(a) Outline FOUR powers available to an inspector when investigating a workplace accident.
(b) Identify the two types of enforcement notice that may be served by an inspector, stating the
conditions that must be satisfied before each type of notice is served.
Ans: Part a)
An inspector has the right to:
1. Enter premises at any reasonable time, accompanied by a police officer, if necessary
2. Examine, investigate and require the premises to be left undisturbed
3. Take samples, photographs and, if necessary, dismantle and remove equipment or
substances
4. Require the production of books or other relevant documents and information

5. seize, destroy or render harmless any substance or article

6. Issue enforcement notices and initiate prosecutions.
7. An inspector may issue a formal caution when an offence has been committed but it is
deemed that the public interest does not require a prosecution. Formal cautions are not
normally considered if the offender has already had a formal caution.
Part b)
There are two types of enforcement notices.
1. Improvement notice This identifies a specific reach of the law and specifies a date by
which the situation is to be remedied.
2. Prohibition notice This is used to halt an activity which the inspector feels could lead to
a serious personal injury. The notice will identify which legal requirement is being or is
likely to be contravened. The notice takes effect as soon as it is issued.
There are two forms of prohibition notice:

1. An immediate prohibition notice this stops the work activity immediately until the
specified risk is reduced
2. A deferred prohibition notice this stops the work activity within a specified time
Q No. 27: Outline the sources of published information that may be consulted when dealing
with a health and safety problem at work.
Ans: The sources of this information may be internal to the organization and/or external to it.
Internal sources, which should be available within the organization include:
1. Accident and ill-health records and investigation reports
2. Absentee records
3. Inspection and audit reports undertaken by the organization and by external organizations
such as the HSE
4. Maintenance, risk assessment (including COSHH) and training records
5. Documents which provide information to workers
6. Any equipment examination or test reports.
External sources, which are available outside the organization, are numerous and include:
1. Health and safety legislation
2. HSC/HSE publications, such as approved codes of practice, guidance documents, leaflets,
journals, books and their website
3. International (e.g. ILO), European and British standards
4. Health and safety magazines and journals
5. Information published by trade associations, employer organizations and trade unions
6. Specialist technical and legal publications
7. Information and data from manufacturers and suppliers
8. The internet and encyclopaedias.
Q No. 28: Explain, using an example in EACH case, the meaning of the following terms:

(i) hazard;
(ii) risk.
Ans: (i)
A hazard is the potential of a substance, person, activity or process to cause harm. Hazards take
many forms including, for example, chemicals, electricity and working from a ladder. There are
four types of hazards, as follows:
Physical hazards are the most common and will be present in most workplaces at one time or
another. They include unsafe conditions that can cause injury, illness and death.
Examples of physical hazards include:
electrical hazards: frayed cords, missing ground pins, improper wiring
unguarded machinery and moving machinery parts: guards removed or moving parts that
a worker can accidentally touch
constant loud noise
high exposure to sunlight/ultraviolet rays, heat or cold
working from heights, including ladders, scaffolds, roofs, or any raised work area
working with mobile equipment such as fork lifts (operation of fork lifts and similar
mobile equipment in the workplace requires significant additional training and
experience)
spills on floors or tripping hazards, such as blocked aisle or cords running across the
floor.
Biological hazards come from working with animals, people or infectious plant materials. Work
in day care, hospitals, hotel laundry and room cleaning, laboratories, veterinary offices and
nursing homes may expose you to biological hazards.
The types of things you may be exposed to include:
blood or other body fluids
fungi
bacteria and viruses

plants
insect bites
animal and bird droppings.
Ergonomic hazards occur when the type of work, body position and working conditions put
strain on your body. They are the hardest to spot since you don't always immediately notice the
strain on your body or the harm these hazards pose. Short-term exposure may result in "sore
muscles" the next day or in the days following exposure, but long term exposure can result in
serious long-term injuries.
Ergonomic hazards include:
poor lighting
improperly adjusted workstations and chairs
frequent lifting
poor posture
awkward movements, especially if they are repetitive
repeating the same movements over and over
having to use too much force, especially if you have to do it frequently.
Chemical hazards are present when a worker is exposed to any chemical preparation in the
workplace in any form (solid, liquid or gas). Some are safer than others, but to some workers
who are more sensitive to chemicals, even common solutions can cause illness, skin irritation or
breathing problems.
Beware of:
liquids like cleaning products, paints, acids, solvents especially chemicals in an

unlabelled container (warning sign!)
vapours and fumes, for instance those that come from welding or exposure to solvents
gases like acetylene, propane, carbon monoxide and helium

flammable materials like gasoline, solvents and explosive chemicals.
(ii) A risk is the likelihood of a substance, activity or process to cause harm. A risk can be
reduced and the hazard controlled by good management. For example, a trailing cable in the
workplace constitutes a hazard and the associated risk is the chance of a trip or a fall over the
cable.
Q No. 29: State FOUR possible direct AND FOUR possible indirect costs to an organization
following a serious accident at work.
Ans: Direct costs to the employer could include:

1) Sick pay.
2) Repairs/replacement of damaged equipment or buildings.
3) Product loss or damage.
4) Loss of production.
5) Public and/or product liability.
6) Fines, legal fees.
7) Increase in insurance premiums.
Indirect costs could be:
1) Business interruption.
2) Loss of orders.
3) Cost of time spent on investigations.
4) Loss of corporate image.
Q No. 30: Replacement or repair of damaged equipment is a cost that an organization may incur
(meaning, to acquire something undesirably) following an accident at work.
Identify EIGHT other possible costs to the organization following a workplace accident.
Ans: Direct costs

These are costs which are directly related to the accident and may be insured or uninsured.
Insured direct costs normally include:
Claims on employers and public liability insurance
Damage to buildings, equipment or vehicles
Any attributable production and/or general business loss.

Fines resulting from prosecution by the enforcement authority
Sick pay
Some damage to product, equipment, vehicles or process not directly attributable to the
Increases in insurance premiums resulting from the accident
Any compensation not covered by the insurance policy due to an excess agreed between
Legal representation following any compensation claim.

Indirect costs
These are costs which may not be directly attributable to the accident but may result from a
series of accidents. Again these may be insured or uninsured. Insured indirect costs can include:
A cumulative business loss
Product or process liability claims
Recruitment of certain replacement staff.

Loss of goodwill and a poor corporate image
Accident investigation time and any subsequent remedial action required
Production delays
Extra overtime payments
Lost time for other employees, such as a first aider, who attend to the needs of the injured
person
The recruitment and training of most replacement staff
Additional administration time incurred
Lower employee morale possibly leading to reduced productivity
Q No. 31: Replacement and retraining of staff is a cost that an organisation may face following a
workplace accident.
Identify EIGHT other possible costs to an organization when a serious accident has occurred at
work.
Possible costs include:

1) Those associated with lost production;
2) Staff absence and sick pay;
3) Repair of damaged plant and equipment;
4) Damage to products;
5) Investigation and remedial action;
6) Additional administration incurred;
7) An increase in insurance premiums;
8) Fines and damages awarded;
10) A loss of business image and
11) The detrimental effect on employee morale resulting in reduced productivity.
You need to read the question this one looks very similar to a previous one but here there is
clear mention that replacement and retraining of staff have already been considered.
Q No. 32: Identify EIGHT possible costs to an organization when employees are absent due to
work-related ill-health.
Ans:
There are a range of costs that have to be considered has having an impact on the organisation,
including, but not limited to:
1. Replacement of staff

1) Retraining those who will be replacing those absent

2) Project delays
3) Medical costs
4) Payments while the person is off work
5) Compensation costs (civil)
6) Defence costs of a criminal and/or civil action
7) Adverse publicity
8) Loss of staff motivation which will impact productivity
9) Revision of work processes
10) Investigation costs
Q No. 33:
(a) Outline the purpose of employer liability insurance.
(b) Outline SIX costs of a workplace accident that might be uninsured.
Ans: (a)
EMPLOYERS LIABILITY COMPULSORY INSURANCE
covers the employers liability in the event of accidents and work-related ill health to
employees and others who may be affected by their operations;
ensures that any employee who successfully sues his/her employer following an accident
is assured of receiving compensation irrespective of the financial position of the
employer; and
is a legal duty in many countries.
(b)
1) Fines resulting from prosecution by the enforcement authority
2) Sick pay
3) Some damage to product, equipment, vehicles or process not directly attributable to the
4) Increases in insurance premiums resulting from the accident
5) Any compensation not covered by the insurance policy due to an excess agreed between
6) Legal representation following any compensation claim.

1) Loss of goodwill and a poor corporate image
2) Accident investigation time and any subsequent remedial action required
3) Production delays
4) Extra overtime payments
5) Lost time for other employees, such as a first aider, who attend to the needs of the injured
person
6) The recruitment and training of most replacement staff
7) Additional administration time incurred
8) Lower employee morale possibly leading to reduced productivity

Q No. 34:
(a) Outline the main features of:
(i) criminal law;
(ii) civil law.
(b) Explain the principal differences between common law and statute law.
Ans: (a) (i) (ii)
Criminal Law:
Criminal law is concerned with offences against society generally. Crimes are actions
which violates the basic rules and principles by which society lives.
The aim of criminal prosecution is to punish the offender with financial penalties or
imprisonment.
An important point which distinguishes criminal prosecutions from civil cases is that the
Burdon of Proof the means of demonstrating that the offence has, indeed, been
committed has to be beyond Reasonable Doubt.
Criminal Courts:
o Magistrate Court minor offences
o Crown Court judge and jury
o Crown Prosecution Service England
o Procurator Fiscal Scotland
o Director of Public Prosecutions Northen Ireland
(ii) Civil Law:

Civil law is concerned with the rights and duties of individuals ( and organizations)
towards each other.
Civil cases comprise an action brought by one person against another in order to seek
restitution for some form of wrong-doing.
Civil actions sought are to put right the wrong committed, i.e. compensation, for losses
incurred. Payment made by the defendant.
The Burden of Proof in civil cases is different to that applied to determine the outcome in
criminal cases. Here the case may be decided on the balance of probabilities.
(b)
Common Law - The rules of behavior accepted by the society on the basis of established
customs and practices, as evidenced by decisions in the courts.
Statute Law The legislation contained in precise written statements of requirements
emanating from parliament.

Or
Common law is not written down but is developed by the courts over time.
In the area of H&S the common law tort of negligence forms the basis of many civil
actions.
Statute law, on the other hand, is written down (codified) in the form of Acts &
Regulations, lays down requirements & assigns duties & responsibilities
Failure to comply with statute law normally (but not always) constitutes a criminal
offence but, even when it defines criminal law, statute law can also be used in civil
actions unless specifically disallowed.
Q No. 35: Outline the FOUR key differences between civil law and criminal law.
Or
The different objectives of the two systems (one to provide a remedy & the other to
punish)
The burden of proof required (a balance of probabilities as opposed to beyond all
reasonable doubt)
The parties generally involved (two individuals rather than the state & an individual)
& the different court structures involved
Criminal law generally written down in statute or statutory instruments & with civil
liabilities largely defined in common law by judicial precedent.
Q No. 36: In relation to health and safety, outline the role of the following:
(a) employment tribunals;

(b) criminal courts.
Ans (a)
Employment Tribunals:
Appeals against enforcement notices.
Issues relating to the Safety Representatives.
Safety Committee Regulations 1977.
Claims of Unfair dismissal.
Powers to uphold or overturn notices.
To award compensation.
To order the reinstatement of employees who have been unfairly dismissed.
(b)
Crimial Courts:
Criminal law is concerned with offences against society generally. Crimes are actions
which violates the basic rules and principles by which society lives.
The aim of criminal prosecution is to punish the offender with financial penalties or
imprisonment.
An important point which distinguishes criminal prosecutions from civil cases is that the
Burdon of Proof the means of demonstrating that the offence has, indeed, been
committed has to be beyond Reasonable Doubt.
Criminal Courts:
Q No. 37:
(a) Identify THREE enforcement agencies whose have the power to prosecute companies for
non-compliance with health and safety legislation.
(b) Give the names of TWO criminal courts which hear cases of indictable health and safety
offences.
(c) Outline the role of the civil courts with regard to health and safety matters.
Ans:
(a)
a) Health and safety executives
b) Local Authority (Council)
c) Enforcement agencies (municipalities, government departments and or their agencies)and
other experts
(b)


(c)
towards each other.
Q No. 38: An employer has common law duty of care for the health, safety and welfare of their
employee. Giving an example in EACH case, identify what the employer must provide in order
to fulfil this common law duty of care.
Ans:
The basic common law duties of care for the health, safety & welfare of employees placed upon
an employer include:
The provision of a safe place of work
Safe means of access & egress to the place of work
Safe systems of work
Safe plant & equipment
Reasonably competent fellow employees
& adequate levels of supervision, information, instruction & training.
Q No. 39:
(a) Define the term negligence.
(b) Outline the THREE standard conditions that must be met for an injured employee to prove a
case of negligence against his/her employer following an accident at work.
(c) Outline SIX defences available to an employer in a case of alleged negligence brought by an
employee.
(d) Identify the circumstances in which an employer may be held vicariously liable for the
negligence of an employee.
Ans:
(a) Breach of common law legal duty of care to exercise reasonable care towards others,
resulting in loss, damage or injury or, a tort involving unreasonably careless conduct A key
defining case Donoghue V Stevenson (1932).

(b)
a) The claimant was owed a duty of care
b) That duty of care was breached
c) As a result of the breach the claimant suffered damage or loss
Or
1) Firstly, it is necessary to show that the employer owed the injured party a duty of care.
2) Secondly, it needs to be demonstrated that the employers duty of care towards the
injured person was not fulfilled to the required standard i.e. that the employer had
breached their duty of care.
3) Thirdly, the injury, loss or harm needs to be shown to be a direct result of the employers
breach of duty of care.
(c)
That there was no duty of care owed to the employee since the case referred to something
which did not take place during the course of employment
That if such a duty were owed, there was no breach in that what happened was not
foreseeable & in the event everything reasonably practicable had been done
That the loss, damage or injury was either non-existent or not caused by any breach
That the claimant voluntary excepted the risk (violent-non-fit-injuries)
Or that the case was out of time.
(d)
a) The employee was acting in the course of his / her employment
b) The employee caused damage or injury by not fulfilling a common law duty of care.
Or
a) The employer owed a duty of care to the employee (in most cases this was self evident)
b) There was a breach of that duty by failing to provide reasonable care
c) The breach led directly to foreseeable harm to the employee (injury, disease or other loss)
Q No. 40:
(i) Give the meaning of the term negligence.
(ii) Give an example of a negligent act by an employer.
(iii) Outline the role of the civil courts with respect to health and safety matters.
Ans:
(i) Breach of common law legal duty of care to exercise reasonable care towards others, resulting
in loss, damage or injury or, a tort involving unreasonably careless conduct A key defining case
Donoghue V Stevenson (1932).

(ii)
Visible employer commitment can be demonstrated by:
Behaving safely.
Involvement in the day-to-day management of health and safety, e.g. by attending safety
meetings.
Taking part in safety tours or audits.
Promoting changes to improve health and safety.
Enforcing the company safety rules.
If employer dont emphasize on these above commitment then this could be negligent act by the
employer which could result bad. In the event that an employee endangers their safety or the
safety of others. In these circumstances the employer would be negligent in ignoring such
behavior.
(iii)
towards each other.
Q No. 41: An employer has general and specific duties under section 2 of the Health and Safety
at Work etc. Act
1974 that are qualified by the phrase so far as is reasonably practicable.
(i) Explain, using a practical example, the meaning of the term so far as is reasonably
practicable.
(ii) Describe the general duty of the employer under section 2(1).
(iii) Giving a workplace example of EACH, identify the FIVE specific duties of the employer
under section 2(2).
(iv) Name the courts that can hear a prosecution for breaches of section 2 of the Health and
Safety at Work etc. Act 1974 AND identify the penalties that can be imposed if the prosecution
is successful.
Ans: (i)
This means the degree of risk in an activity can be balanced against time, trouble, cost and
physical difficulty of taking measures to avoid risk.
The greater the risk then the more likely it is that to be reasonable would be to go to substantial
expense and invention to reduce risk.
(ii)
The duty of Employer is to provide:

Safe plant & systems of work

To ensure safety in the use of articles & substances
To provide information, instruction & training
To maintain a safe workplace (including access & egress)
& to provide a healthy work environment
Prepare a health & safety policy
To consult with employee representatives
& to form a safety committee under prescribed circumstances.
(iii)
General duty - "to ensure, so far as is reasonably practicable, the health, safety and welfare at
work with all his employees" including:
Provision and maintenance of safe plant and equipment and a safe system of work.
Safe arrangements and absence of risks to health for storage, transport, handling and use of
articles and substances.
Provision of adequate instruction, training, supervision and information necessary to ensure the
health and safety at work of employees.
Provision and maintenance of a safe workplace including a safe means of access and egress.
Provision of a safe working environment and adequate welfare facilities and arrangements.
In the UK it also extends to the following:

Provide a written statement of a safety policy (except where there are less than five employees).
Consult with trade union appointed safety representatives and elected representatives of
employee safety.
Where requested in writing by at least two safety representatives, to set up a safety committee).
(iv)
The penalty that can be imposed by a Magistrates court for a breach of this section is a fine of
up to 20,000 pounds while for cases heard in the Crown court, the fine is unlimited.
Q No. 42: Outline the general duties placed on employees by:

(i) the Health and Safety at Work etc. Act 1974
(ii) the Management of Health and Safety at Work Regulations 1999.
Ans: (i)
Section 7 of the Act requires employees to take reasonable care for themselves & others
who might be affected by their acts or omissions.
& to cooperate with their employer or other person so far as is necessary to enable them
to comply with their own statutory duties & requirements.
Section 8 (which in fact applies to all persons & not just employees) requires that no-one
shall intentionally or recklessly interfere with or misuse anything provided in the interests
of health & safety or welfare.

(ii)
Regulation 14 of the Management Regulations, on the other hand, requires employees

to use all work items in accordance with the training & instructions that they have been
given
It also requires employees to inform their employer (or a specified employee with health
& safety responsibilities) of work situations that could present a serious & immediate
danger, as well as any shortcomings that they might reasonably recognise in the existing
arrangements for health & safety.
Q No. 43: With respect to section 6 of the Health and Safety at Work etc. Act 1974, outline the
general duties of designers, manufacturers and supplies of articles and substances for use at work
to ensure that they are safe and without risk.
Ans:
Everyone in the supply chain, from the designer to the final installer, of articles of plant or
equipment for use at work to:
Ensure that the article will be safe and without risk to health at all time when it is being set,
used, cleaned or maintained
Carry out any necessary testing and examination to ensure that it will be safe, and
Provide adequate information about its safe setting, use, cleaning, maintenance, dismantling
and disposal.
There is an obligation on designers or manufacturers to do any research necessary to prove safety

in use.
Erectors or installers have special responsibilities to make sure, when handed over, that the plant
or equipment is safe to use.
Similar duties are placed on manufacturers and suppliers of substances for use at work to ensure
that the substance is safe when properly used, handled, processed, stored or transported, to
provide adequate information and do any necessary research, testing or examining.
Where articles or substances are imported, the suppliers obligations outlined above attach to the
importer, whether a separate importing business or the user personally.
Often items are obtained through hire purchase, leasing or other financing arrangements with the
ownership of the items being vested with the financing organization.
Where the financing organizations only function is to provide the money to pay for the goods,
the suppliers obligations do not attach to them.
Q No. 44: During a routine visit, a health and safety enforcement officer has discovered an
unguarded lift shaft, left by a contractor, whilst working on an employers premises.

(a) Identify the powers given to the enforcement officer under the Health and Safety at Work etc.
Act 1974.
(b) Outline the breaches of the Health and Safety at Work etc. Act 1974 by:
(i) the employer
(ii) the person (contractor) carrying out repairs on the lift.
Ans:
(a)
The right to enter premises, if necessary by enlisting the assistance of a police officer
To carry out examinations & investigations
To direct that premises or equipment be left undisturbed for the purpose of investigations
To take measurements & photographs
To inspect &/or take copies of documents & records
To take samples
To require a person to answer questions & sign a declaration to the truth of his/her
answers
To take possession of articles & substances
To issues enforcement notices
& to instigate & (except in Scotland) to conduct proceedings in a magistrates court
(b) (i)
Q No. 45: In order to meet a production deadline, a supervisor instructed an employee to operate
a machine, which they both knew to be defective. Giving reasons in EACH case, identify
possible breaches of the Health and Safety at Work etc Act 1974 in relation to this scenario.
Q No. 46: Explain the meaning, legal status and roles of:
(i) health and safety regulations
(ii) HSC Approved Codes of Practice
(iii) HSE guidance.
Q No. 47: Outline, with an example of each, the differences between health and safety
Regulations and HSE Approved Codes of Practice.
Ans:
H &S regulations are generally made under the HASAWA 1974 by the Secretary of State
& contain statutory requirements.

Which, if not met by the person on whom they are laid, may lead to prosecution in the
courts & the imposition of a fine or to the issue of an enforcement notice by the
appropriate enforcement authority
ACOPs, on the other hand, are approved by the HSC with the consent of the Secretary of
State
They provide a practical interpretation of legal requirements in specific areas &, whilst
they do not themselves impose any legal requirement, they may be introduced in court as
supportive evidence.
Q No. 48: Explain the differences between HSE Approved codes of Practice and HSE guidance,
giving an example of EACH.
Ans:
ACOPs are approved by the HSC with the consent of the Secretary of State & provide a
recognised interpretation of how an employer may comply with their associated
legislation
Although failure to comply with any provision of an ACOP is not in itself an offence, the
failure may be cited in court in criminal proceedings as proof that there has been a
contravention of the regulation to which the provision relates
Employers must either meet the standards contained in the ACOP, or show that they have
complied with an equal or better standard
A number of examples could have been given such as the ACOPs complementing the W
(H,S &W) R 1992 & the MHSWR 1999.
Guidance, on the other hand, is issued by the HSE with the intention of giving advice on
good practice
The advice is generally more practically based than that contained in an ACOP
Guidance has no legal standing in a court of law
Examples of HSE guidance documents include those issued on matters such as manual
handling, DSE & PPE
Q No. 49: Identify the powers given to inspectors appointed under the Health and Safety at
Work etc Act 1974.
Ans:
An inspector has the right to:
n enter premises at any reasonable time, accompanied by a police officer, if necessary;
n examine, investigate and require the premises to be left undisturbed;
n take samples, photographs and, if necessary, dismantle and remove equipment or
substances;
n require the production of books or other relevant documents and information;
n seize, destroy or render harmless any substance or article;

n issue enforcement notices and initiate prosecutions.
Q No. 50:
(a) Outline FOUR powers available to an inspector when investigating a workplace accident.
(b) Identify the two types of enforcement notice that may be served by an inspector, stating the
conditions that must be satisfied before each type of notice is served.
(a)
The right to enter premises, if necessary with police assistance
To carry out examinations and investigations in a workplace relative to their enquiries
To direct that premises or equipment be left undisturbed for the purpose of investigations
To take measurements and photographs
To inspect and/or take copies of documents and records
To take samples and anything relative to their investigation
To interview a person and obtain a signed declaration of truth
To take possession of articles and substances
To issue enforcement notices
To instigate and conduct proceedings in a magistrates court (except Scotland).
To dismantle and/or test any item or substance which they decide is harmful to health.
(b)
An improvement notice may be served where an inspector is of the opinion that there is a
breach of statutory health & safety duty, or that there has been such a breach which is likely to
continue or be repeated
A prohibition notice may be served only where, in the inspectors opinion, there is a risk of
serious personal injury
In the latter case, a breach need not have occurred for the notice to be served.
Q No. 51:
(a) Explain, using a relevant example, the circumstances under which a health and safety
inspector may serve an improvement notice.
(b) Identify the time period within which an appeal may be lodged against an improvement
notice AND state the effect that the appeal will have on the notice.
(c) Identify the penalties for contravening the requirements of an improvement notice when
heard BOTH summarily AND on indictment.
Ans:
(a) A breach of statutory duty and a likelihood or continuation or repeat of the breach e.g.
inadequate guarding on a machine breach of
(b) An appeal may be made to the Employment Tribunal and must be made within 21 days. The
notice is then suspended until the appeal is either heard or withdrawn. There are five main
grounds for an appeal:
1. The inspector interpreted the law incorrectly.
2. The inspector exceeded his/her powers.

3. The breach of the law is admitted but the proposed solution is not practicable or reasonably
practicable.
4. The time allowed to comply is too short.
5. The breach of the law is admitted but the breach is so insignificant that the notice should be
cancelled.
(c)
The penalty that can be imposed by a Magistrates court for a breach of this section is a fine of
up to 20,000 pounds while for cases heard in the Crown court, the fine is unlimited.
Q No. 52: Outline ways in which the Health and Safety Executive can influence the health and
safety performance of an organization.
Q No. 53: With reference to the Management of Health and Safety at Work Regulations 1999.
(i) outline the information that an employer must provide to employees;
(ii) identify FOUR classes of persons, other than employees, to whom an employer must
provide health and safety information;
(iii) identify the specific circumstances when health and safety training should be given to
employees.
(ii) Visitors
Members of the public
Uninvited persons
Trespassers
Contractors
Utility workers
Emergency services that may have to attend site
(iii)
Q No. 54:
(a) Give TWO reasons why visitors to a workplace might be at greater risk of injury than an
employee.
(b) Outline measures to be taken to ensure the health and safety of visitors to the workplace.
Part (a),
There are a number of reasons why visitors to a workplace might be at greater risk of injury than
workers. These include:
Their unfamiliarity with the processes carried out at the workplace, the hazards they present
and their associated risks
The fact that they may not have been issued with personal protective equipment;
Their lack of knowledge of the site layout
The fact that pedestrian routes might be inadequate and unsigned;
Their unfamiliarity with the emergency procedures
Their vulnerability particularly if they were disabled, very young or had language problems.
Part (b),

Measures such as the following may reduce the possibility of injury to visitors:
Visitor identification, for example, by the issue of badges with a routine for signing in and
out;
Prior notification to those members of staff to be involved in the visit;
The provision of information to the visitors in suitable languages on hazards and emergency
procedures;
An explanation of specific site rules, for example, restricted areas and the wearing of personal
protective equipment;
The clear marking of pedestrian routes and
The need for visitors to be escorted by a member of management or supervisory staff
Q No. 55: Outline the specific factors that should be considered when assessing the risks to
employees working on night shifts.
Ans: There are a range of specific factors that need to be taken into consideration when looking
at persons expected to work on a night shift including:
Frequency of shift changes what is the shift pattern
Level of supervision
The fitness of persons expected to work during such periods
Adequate time between shift changes (if on rotating shifts)
Availability of first aid arrangements and other emergency contingencies
Temperature control
Security arrangements are suitable and sufficient as the risk of crime may be higher
Access to specialist advice and guidance
Transportation to and from the place of work
Q No. 56: Outline the issues that should be considered to achieve cooperation and coordination
where employers share a workplace.
Ans: The issues that should be considered to achieve cooperation and coordination in a shared
workplace include:
The need for all employers to share information on the hazards and risk associated with their
particular activity;
The maintenance of access and egress to the workplace and the control of access by visitors
and others;
The maintenance and cleanliness of shared and public areas;
The control of vehicle movement in the workplace;
The preparation of procedures for dealing with serious or imminent danger and emergencies;
The appointment of key personnel with specific responsibility for matters such as fire and
first aid;
The provision of joint first aid facilities;
The allocation of responsibility for environmental controls such as heating, ventilation and air
conditioning;
The maintenance and cleanliness of welfare facilities; and
The provision of security arrangements to deal with unwelcome visitors and/or trespassers.
There would also be advantage in mentioning the there may be additional requirements under
specific legislation in some countries e.g. the UK Management of Health, Safety and Welfare
Regulations

Q No. 57:
(a) Outline the main duties of a CDM coordinator under the Construction (Design and
Management) Regulations.
(b) Identify FOUR items of information in the health and safety file for an existing building that
might be needed by a contractor carrying out refurbishment work.
(a)
i) The planning supervisor is required to ensure HSE is notified of the project.
ii) Ensure cooperation between designers.
iii) Ensure designers comply with their duties.
iv) Ensure cooperation with designers.
v) Ensure a PRE tender stage H & S plan is prepared.
vi) Advice the client when requested to do so.
vii) Ensure H & S file is prepared.
(b)
1 The nature of the work and risk involved.

2 Method statements.
3 Emergency arrangements.
4 Coordination of and liaison between relevant parties.
5 Use of plant and equipment.
6 Site rules.
7 Welfare arrangements.
8 Accident reporting.
9 IT IS.
10 Provision and use of PPE.
11 Monitoring and review arrangements.
Q No. 58: With reference to the Construction (Design and Management) Regulations:
(i) Identify the circumstances under which a construction project must be notified to an
enforcing authority.
(ii) Outline the duties of the client under the Regulations.
(i)
(ii)

The principle contractor:-
1 Coordinating the activities of all contractors on site.

2 Developing the H & S plan & ensuring the compliance with it on site.
3 Displaying the statutory notices.
4 Providing the H & S information to contractors.
5 Ensuring effective consultation with employees.
6 Controlling access to the site.
7 Ensuring the competence of all contractors involved.
8 Passing any information to planning supervisor that should be included in the H & S file.
Q No. 59: Outline FOUR duties of each of the following persons under the Construction
(Design and Management)
Regulations:
(i) the CDM coordinator
(ii) the principal contractor.
1 The planning supervisor:-
i) The planning supervisor is required to ensure HSE is notified of the project.
ii) Ensure cooperation between designers.
iii) Ensure designers comply with their duties.
iv) Ensure cooperation with designers.
v) Ensure a PRE tender stage H & S plan is prepared.
vi) Advice the client when requested to do so.
vii) Ensure H & S file is prepared.
2 The principle contractor:

CDM Regulation 16:- The principle contractor is required to develop the H & S plan before work
starts on site and keep it up to date throughout the construction phase. These are firstly to take
reasonable steps to ensure cooperation between contractors, the principle contractor must ensure
so far is reasonably practicable that every contractor and every employee complies with any rules
in H & S plan. The principle contractor can make any reasonable return rules and include them in
the plan and reasonable directions to any contractor. The principle contractor must take
reasonable steps to ensure that any authorize persons are allowed where construction work is
being carried out.
The principle contractor must ensure that required particulars are displayed in any notice covered
by regulation 7, and are displayed in a readable condition where they can be read by any person
at work on the project.

Finally he must provide the planning supervisor promptly with any information he possesses or
could reasonably find out from a contractor which the planning supervisor does not already
possesses and which could reasonably be believed necessary to include in the H & S site.
Q No. 60: Identify the factors that should be considered when assessing the health and safety
competence of a contractor.
Ans:
1. Review of their health and safety policy document is it suitable and sufficient?
2. What is their training programme?
3. What is the standard of risk assessments
4. How adequate are their method statements?
5. How complete are their safe systems of work?
6. What level of supervision will they be implementing?
7. What are their accident incident statistics?
8. Do they have records of any enforcement action?
9. Have they done this type of work in the past?
10. Have they adequate insurance coverage?
11. What competence proof do they have for their key workers e.g. plant operators, electricians,
etc.
12. Do they have reliable references?
13. Do you need to visit an existing project to see first hand how they perform on site?
14. Are they members of a recognised trade association?
Q No. 61: An organization occupying an office block is to use a contractor to carry out extensive
refurbishment.
(a) Outline checks that the organization should make when assessing the health and safety
competence of the contractor.
(b) Outline the duties placed on the contractors employees by the Health and Safety at Work etc.
Act 1974.
(c) Outline procedural measures that the organization should take to help reduce the risk to the
health and safety of their own employees while the contractors are carrying out this work.
Ans:
(a)
1. Review of their health and safety policy document is it suitable and sufficient?
2. What is their training programme?
3. What is the standard of risk assessments
4. How adequate are their method statements?
5. How complete are their safe systems of work?
6. What level of supervision will they be implementing?
7. What are their accident incident statistics?
8. Do they have records of any enforcement action?
9. Have they done this type of work in the past?
10. Have they adequate insurance coverage?

11. What competence proof do they have for their key workers e.g. plant operators, electricians,
etc.
12. Do they have reliable references?
13. Do you need to visit an existing project to see first hand how they perform on site?
14. Are they members of a recognised trade association?
(b)
Everyone in the supply chain, from the designer to the final installer, of articles of plant or
equipment for use at work to:
Ensure that the article will be safe and without risk to health at all time when it is being set,
used, cleaned or maintained
Carry out any necessary testing and examination to ensure that it will be safe, and
Provide adequate information about its safe setting, use, cleaning, maintenance, dismantling
and disposal.
There is an obligation on designers or manufacturers to do any research necessary to prove safety

in use.
Erectors or installers have special responsibilities to make sure, when handed over, that the plant
or equipment is safe to use.
Similar duties are placed on manufacturers and suppliers of substances for use at work to ensure
that the substance is safe when properly used, handled, processed, stored or transported, to
provide adequate information and do any necessary research, testing or examining.
Where articles or substances are imported, the suppliers obligations outlined above attach to the
importer, whether a separate importing business or the user personally.
Often items are obtained through hire purchase, leasing or other financing arrangements with the
ownership of the items being vested with the financing organization.
Where the financing organizations only function is to provide the money to pay for the goods,
the suppliers obligations do not attach to them.
(c)
Selection of a competent contractor and ensuring that they have relevant experience in the type
of work expected in the project.
Induction training to be effectively delivered.
Training in expected safe systems of work and to include permits to work; lock out and tag out.
Checks to ensure that they are aware of their duties
Satisfy yourself that they and anyone they employ or engage are competent and adequately
resourced
That they plan, manage and monitor their own work to make sure that workers under their
control are safe from the start of their work
Ensure that any contractor who they appoint or engage to work on the project is informed of
your requirements and that they are allowed time to plan and prepare before starting their work

That they provide workers under their control (whether employed or self-employed) with any
necessary information, including about relevant aspects of other contractors work, and site
induction which they need to work safely, to report problems or to respond appropriately in an
emergency
Ensure that any design work they do complies with the requirements of your designers.
That they co-operate with others and co-ordinate their own work with others working on the
project
On arrival at the site, sub-contractors should ensure that:

Share information with the contractor on the particular project risks.
They report to the site office on arrival on site and report to the site manager
They abide by any site rules, particularly in respect of personal protective equipment
The performance of their work does not place others at risk
They are familiar with the first aid and accident reporting arrangements of the principal
contractor
They are familiar with all emergency procedures on the site
Any materials brought onto the site are safely handled, stored and disposed of in compliance,
where appropriate, with the current control of substances hazardous to health regulations
They adopt adequate fire precaution and prevention measures when using equipment which
could cause fires
They minimize noise and vibration produced by their equipment and activities
Any ladders, scaffolds and other means of access are erected in conformance with good
working practice and the work at height regulations
Any welding or burning equipment brought onto the site is in safe operating condition and used
safely with a suitable fire extinguisher to hand
Any lifting equipment brought onto the site complies with the current lifting operation and
lifting equipment regulations
All electrical equipment complies with the current electricity at work regulations
Connections to the electricity supply is from a point specified by the principal contractor and is
by proper cables and connectors. For outside construction work, only 110 v equipment should be
used
Any restricted access to areas on the site is observed
Welfare facilities provided on site are treated with respect
Any vehicles brought onto the site observe any speed, condition or parking restriction.
Q No. 62: A contractor has been engaged by a manufacturing company to undertake extensive
maintenance work on the interior walls of a factory workshop.
(a) Identify the legal duties that the manufacturing company owes the contractors employees
under the Health and Safety at Work etc. Act 1974.
(b) Outline the information relevant to health and safety that should be provided before work
commences by:
(i) the manufacturing company to the contractor; AND
(ii) the contractor to the manufacturing company.
(iii) Describe additional procedural measures that the manufacturing company should
take to help ensure the health and safety of their own and the contractors employees.

IGC1, Element 1, Foundation

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NEBOSH IGC1: Element 1, The Foundations in Health and Safety

Topic 1: The Scope and Nature of Occupational Health and Safety

BARRIERS TO GOOD STANDARDS OF HEALTH AND SAFETY

Prepared by: Shahzaib Usman Page 1

Q No. 2: Outline the meaning of the following terms:

Ans: Part (a)

Prepared by: Shahzaib Usman Page 2

MORAL EXPECTATIONS OF GOOD STANDARDS OF HEALTH AND SAFETY

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THE BUSINESS CASE FOR HEALTH AND SAFETY

Direct and Indirect Costs

Prepared by: Shahzaib Usman Page 4

Examples of direct costs:

Examples of indirect costs:

Prepared by: Shahzaib Usman Page 5

EMPLOYERS LIABILITY COMPULSORY INSURANCE

Ans: Moral, economic and social (or legal) reasons.

Q No. 5: Why maintain good health and safety management?

Ans: MORAL REASONS

Prepared by: Shahzaib Usman Page 6

Good health and safety management can lead to:

Prepared by: Shahzaib Usman Page 7

Ans: Direct costs

Prepared by: Shahzaib Usman Page 8

Extra overtime payments

Topic 4: Role of National Governments and International Bodies

Prepared by: Shahzaib Usman Page 9

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There are two types of enforcement notice.

Prepared by: Shahzaib Usman Page 11

SOURCES OF INFORMATION ON NATIONAL STANDARDS

Ans: Any three from:

Ans: Any two from:

Prepared by: Shahzaib Usman Page 12

There are also indirect costs related to:

Prepared by: Shahzaib Usman Page 13

Ans: Part (a),

The economic benefits would include:

Prepared by: Shahzaib Usman Page 14

Guidance produced by the various enforcement agencies;

Ans: Possible costs such as those associated with:

Q No. 17: Identify possible consequences to workers injured in an accident at work.

Ans: Possible consequences to a worker injured in a workplace accident include:

Prepared by: Shahzaib Usman Page 15

Ans: Possible costs include:

Prepared by: Shahzaib Usman Page 16

Prepared by: Shahzaib Usman Page 17

3) Ability to correctly respond to questions

(a) Outline the main health and safety responsibilities of employers.

Ans: Part (a)

Prepared by: Shahzaib Usman Page 18

2) Giving advice or warning either verbally or in writing;

Prepared by: Shahzaib Usman Page 19

5. seize, destroy or render harmless any substance or article

There are two forms of prohibition notice:

Prepared by: Shahzaib Usman Page 20

electrical hazards: frayed cords, missing ground pins, improper wiring

constant loud noise

high exposure to sunlight/ultraviolet rays, heat or cold

blood or other body fluids

bacteria and viruses

Prepared by: Shahzaib Usman Page 21

animal and bird droppings.

improperly adjusted workstations and chairs