Typical Examination Questions based on Element 1.3 Organising for health and safety

1. (a) List FOUR categories of persons, other than employees, to whom an employer owes a duty to take reasonable care.
   
   (b).Outline the procedure that an organisation may adopt in order to ensure the safety of visitors to its premises. (6)


2. (a) Outline the duties placed on an employer towards employees under the Health and Safety at Work etc. Act 1974 (10)
   
   (b) Outline an action plan which would help ensure that the employer complies with these duties. (10)



3. Outline the functions of a safety representative as stated in the Safety Representatives and Safety Committee Regulations 1977. (8)
   
   
4. Outline the topics that may be included on the agenda of a health and safety committee meeting. (8}
   
   
5. In relation to the Health and safety (Consultation with Employee) Regulations 1996
   
   identify:
   
   (i) The health and safety matters on which employees have a duty to consult their employees. (4)
   
   (ii) Four types of information that an employer is NOT obliged to disclose to an employee representative. (4)



6. (a) Explain under what circumstances an employer must form a safety committee (2)
   
   (b) Explain why a health and safety committee could be ineffective. (6)

Answers :-

E3/1
(a) Categories could include, visitors, contractors, members of the public, trespassers.
(b) Procedures could include: Visitors signing in/out, badge system, Provision of instructions and information, restrictions from dangerous areas, escorting visitors at all times, checking for special needs.

E3/2
(a) Section 2 of the HSW Act'74 requires the provision and maintenance of safe plant, systems of work, articles and substances as well as the provision of adequate information, instruction, training and supervision.

(b) Reference should be made to provision of resources, defining responsibilities, assessing risks, identification of training needs, setting targets and time-scales, monitoring and ensuring adequate consultation.

E3/3
Do not confuse rights of representatives with their functions which are:

• Investigating potential dangerous situations and incidents affecting the wellbeing of employees
• Dealing with complaints from employees on health and safety matters
• Representation and consultation with employers on behalf of employees
• Making representations to employees on matters concerning the wellbeing of employees and on general health and safety issues
• Representing employees in workplace consultations with enforcing authority inspectors
• When appointed attending at safety committee meetings

E3/4
Topics could include:

• Review of recent accidents
• Review of proactive monitoring such as safety inspections and audits, statutory examinations of plant
• Reviewing health surveillance requirement and availability
• Review of visits by enforcing authorities
• Considering new or pending legislation, APCOP, Guidance notes or trade articles.
• Consideration of consultation with staff and questions etc. raised by staff
• Reviewing any changes that can affect safety issues
• Training and educational needs and availability
  

E3/5

(i) Introduction of measures that may substantially affect the health and safety of employees
The arrangement for appointing or nominating competent persons
Any health and safety information the employer must provide to employees
The planning and implementation of safety training
The health and safety consequences of introducing new technology, work shifts or patterns
(ii) Not obliged to disclose to employees:

• Personal health or medical records of specific individuals
• Information regarding national security
• Information not related to health and safety issues
• Where the information would contravene a statutory prohibition imposed on the employer
• Information obtained by the employer in connection with court proceeding
• Information that could damage the employer's business interests
  

E3/6
(a) Where they are requested to do so by two or more trades union appointed safety representatives
(b) Lack of:

• Commitment or motivation by members
• A formal agenda
• A good chairperson
• Expertise among member$
• Input to decision making
• No direction or remit

Organising for health and safety

The intention of this post is to aide readers in gaining an understanding of the legal and organisational health and safety roles and responsibilities of employers, managers, supervisors, employees and other relevant parties. Also to apprieciate the requirements placed on employers to consult with their employees.

3.1 Legal and organizational health and safety roles and responsibilities

To their employees

The employer has corporate and non-corporate duties of care for employEZes at common law and statute law. These duties are very similar although they are set out in more specific details under the Act.
In essence the statutory duties under section 2 of The Health and Safety at Work etc Act 1974 are that Employers must take all reasonable care to safeguard the health, safety and welfare of their employees. In particular this means providing and maintaining:

• Safe plant and systems of work.
• Safe handling, storage, maintenance and transportation of articles and substances associated with work.
• Adequate selection of employees and thereafter providing sufficient information, instruction, training and supervision.
• Safe places of work including access and egress to and from the workplace
• Safe working environments and adequate welfare facilities.

Implementation

To implement these duties of care employers require having a good safety policy that branches out into management controls such as those specified in element 2 paragraph 3 Organisation and Arrangements.
Duties to others
Employers have statutory duties placed on them under sections 3 and 4 of The Health and Safety at Work etc. Act 1974 towards persons other than employees, That is:

• Contractors who are commissioned to carry out work

Implementation

This duty can be implemented by initially validating contractors as having the skills and resources necessary to carry out the work they will be contracted to do. Thereafter by giving them clear and unambiguous information, instructions within an induction training session to fully understand when on site what is required of them, as well as specific hazards and safety arrangements applicable to them. Thereafter their work should be subject to regular safety monitoring to ensure compliance.

• Visitors to siteor premises

Implementation

All visitors must be signed on and off site, and where reasonably practicable always accompanied by a member of staff. They should be given sufficient and adequate information about the safety arrangements in place including emergency arrangements. It is important for the reception staff to ascertain if visitors have any special needs or requirements in order that these can be embraced in the safety arrangements for the visitor's wellbeing. They should also be informed of specific dangers and safeguards on site and of any restrictions on entry to dangerous areas.

• Self employed personnelwho are contracted for services

Implementation

Self employed, sub-contractors and delivery personnel must all be made aware of the hazards and arrangements that are in place to ensure their safety and the safety of other persons their work may cause danger to.

• Trespassers who come on site (deliberately or inadvertently)

Implementation
This duty requires employers not to deliberately set traps that could injure trespassers. This must also covers children who deliberately or inadvertently stray onto their premises. This also requires where adequate fencing to be in place where danger exists.
If a trespasser fell down an unguarded hole this would be seen in the same light as though it were an employee.

• The general public including the elderly and persons with special needs

Implementation

When dealing with the safety of the public it is important to remember that the public is made up of all types of people such as:

• Children who are extremely inquisitive with no sense of danger
• Elderly people who may be frail and easily confused
• Physically challenged persons, for example, partially sighted, hearing deficiencies, degraded mobility etc.
• Mentally challenged persons, who may not think like others
• People who cannot read
• People under the influence of alcohol or drugs
• Vandals

The last two groups are not only a danger to themselves but can deliberately set out to injure others.

The responsibilities of Directors and Senior Managers

Directors and senior managers require embracing corporate and individual responsibilities for ensuring the safety policy and corporate arrangements made thereunder are integrated into the management structure and arrangements in their departments.
This includes ensuring:

• Adequate financial resources are included in budgets for health, safety and welfare arrangements
• All line managers have been given sufficient information, knowledge and training to understand explicitly their contractual, corporate and personal duties of care when carrying out their job accountabilities
• That personal appraisals specifically considers accountabilities for health, safety and welfare issues

The responsibilities of middle managers and supervisors

Middle managers and supervisors must fully understand and be committed to ensuring health, safety and welfare matters are adequately and timeously dealt with as an integrated part of activities in their sphere of operation.
This includes ensuring:

• All staff under their jurisdiction are competent and diligent in carrying out their duties in a safe manner and within the framework of instructions and guidance given in training and company practices and procedures
• That compliance with duties of care is praised and non-compliance adequately dealt with
• That accidents and near miss incidents are recorded and given due care and consideration and where necessary action invoked to avoid recurrences
• That pro-active and reactive monitoring is carried out to identify any non-conformances to or of the management system with appropriate action taken

The health and safety practitioner, 'appointed person/s' and similar persons with primary health and safety functions

In each case such persons must have sufficient and satisfactory knowledge and personal skills to be able to carry out their functions in a proper manner.
The functions of such persons are to give reasonable, logical and competent advice and assist all personnel in the organisation, particularly directors and all line managers by helping to facilitate and coordinate health, safety and welfare issues in a satisfying manner.

All employees

All employees include everyone from the most senior executive to the most recent addition to staff. Obviously, the more senior the person, the more accountability and responsibility are placed on them.
Sections 7 and 8 of The Health and Safety at Work etc, Act 1974 places duties on all employees to:

• Take all reasonable care for their own health and safety and the health and safety of anyone who may be affected by their acts or omissions.
• Co-operate with their employers to meet legal obligations.
• Neither intentionally nor recklessly interfere with or misuse anything whether plant, equipment or methods of work, provided by their employer to meet obligations under this or any related legislation.

These duties have been extended and detailed by Regulation 14 of the Management of Health and Safety at Work Regulations 1999.

In practice this requires

Employees under these Regulations to notify their employer, or those they appoint to assist them with health and safety matters (for example, the company safety practitioner), without delay of any work situation that might present a serious and imminent danger. Employees should also notify any shortcomings in the health and safety arrangements, even when no immediate danger exists, so that the employer can take r medialaction if needed.

Persons in control of premises

Landlords or persons in control of premises are required by section 4 of the Health and Safety at Work etc. Act 1974 to ensure the means of access and egress is safe for those using their premises.
Section 5 of the 1974 Act relates to emissions of noxious or offensive substances into the atmosphere.

Duties of self-employed persons

Section 3(2) of the Health and Safety at Work etc, Act 1974 imposes a duty on self-employed persons 'to conduct his business in such a way as to ensure so far as is reasonably practicable that he and no other persons who may be affected by his acts or omissions are not unduly exposed to risks to their health and safety'.
These duties are similar to those imposed on employers with the provision they do not require a written safety policy.

Duties of those involved in the supply chain

Section 6 of the Health and Safety at Work etc, Act 1974 imposes duties upon designers, manufacturers, importers, installers and those who hire out plant and equipment to ensure, so far as is reasonably practicable, that the articles or substances for use at work are safe when being properly used.

Implementation

This section of the act imposes duties on all those involved in the supply chain that provides articles and substances to be used at work.
Sufficient research and tests must be competently carried out to validate and ensure substances and articles for use at work are safe when being 'used' in the widest sense; that is used in a reasonably foreseeable and responsible manner. Research and tests can be carried out in-house provided the expertise and independence from business pressures are present. An independent competent authority can also carry out the research and test requirements.
Information about the use to which an article or substance was designed, including any necessary conditions of use to ensure health and safety, must be supplied with the article or substance.
Anyone installing an article for use at work must ensure so far as is reasonably practicable, that nothing about the way it is installed or erected makes it unsafe or a risk to health when properly used.
Manufacturers must ensure quality controls are in place to ensure compliance with design criteria. Importers are legally responsible for the validity of imports.
Hirers of plant and equipment must ensure the plant is in good working order and complies with all statutory requirements.

Relationship between client and contractor

It is important when contractors are working on site that there is a mutual exchange of information and requirements in both directions.

1. What the client requires from the contractor

• The contractor conforms to certain safety requirements including provisions for protecting the client's employees and the public from hazards associated with the work to be undertaken. In order to enforce these requirements it is important to spell them out in the contract documents, (this makes them binding), otherwise they are merely loosely enforced agreements.
• The contract should also require the contractor to put in place a safety management system that the client reserves the right to monitor at random.
• Under no circumstances should a company undertake superv1s1on of the contractor's employees. The usual procedure would be to point out matters of safety to the contractor's site manager so that he can exercise control.

2. What the contractor requires from the client

The contractor should request information about:

• Any latent hazards on site that may not be commonly considered or easily identified or appreciated.
• Any special restrictions on working hours or other requirements that must be taken into account during the contract.
• Security arrangements.
• Delivery arrangements for plant machinery and other supplies.
• Arrangements for the siting of storage and site offices.
• Any shared welfare facilities that may be available.
• Accident and incident protocols (for example the various notification to whom etc.).
• A named client contact person who will be the liaison person for the duration of the contract.

Shared responsibilities in joint occupation of premises

Where there is joint occupation of premises it is imperative that co-ordination and co-operation takes place between the parties concerned. Having the property managed or factored by an externalagency is a good way of dealing with this.
In this way each occupant is responsible for their part of the premises and the factor, or property manager, arranges for building services, welfare arrangements, jointly used parts of the building and security arrangements to be maintained in good order.
The factor or building manager would hold regular meetings with the occupants to discuss any relevant matters including emergency arrangements and evacuation drills.

3.2 . Consultation with employees

Rights of employees

The Safety Representative and Safety Committee Regulations 1977 provided a set of entitlements to consultation to nominees (safety representatives) of recognised independent trade unions. They gave the right to safety representatives to make a number of inspections, to consult with the employer and to receive information on health and safety matters. The Regulations also provide for training, time off with pay to carry out the functions of safety representation and the right to require the employer to form a safety committee subject to certain requirements.
The Health and Safety (Consultation with Employees) Regulations 1996 apply in organisations that have employees not represented by trade unions. They require employers to consult with their employees on matters that affect, or could affect, their health and safety.
Basically they give the same·rights to non-union personnel as those given to trade union members by the previous Regulations. In some instances they expand or reinforce previous duties.

The duties of employers

The duty of employers is to consult with employees in good time on matters relating to their health and safety at work.
NB. 'In good time' means consultation so that the employee's views can be taken into account before decisions are taken.

In particular consultation regarding

The introduction of any measures at the workplace that substantially affect the health and safety of employees.
NB. The employer must provide enough information to allow employees to understand:

• What the likely hazards and risks arising from their work or changes to their work are.
• The measures in place or about to be introduced to deal with the hazards/risks.
• What employees ought to do when encountering hazards/risks including what to do in an emergency?
• The employer's arrangements for the appointment, or nomination, of persons to assist in carrying out risk assessments under the Management of Health and Safety at Work Regulations 1999.
• Any healttl and safety information the employer requires to provide under relevant statutory provisions. For example, the written safety policy and arrangements.
• The planning and organisation of any health and safety training the employer is duty bound to provide under statutory provisions.
• The health and safety consequences for employees from the introduction of new technologies into the workplace.

Note: Information and instruction are what is required to be given during training while consultation is the necessity to listen and take account of the views of employees. This latter requirement may take the form of appointing safety representatives and a safety committee

Employers have a choice on how to consult

For example:

• Consult through one or more freely elected representatives of the workforce.
• If no elected representatives are appointed, consult directly with the employees
• NB What matters is that employees, or their appointed representatives are made aware of:
• When their views are being sought regarding health and safety issues.
• Their rights to take part in discussions on all questions relating to their health and safety.

Safety representatives are entitled to:

• • Adequate training (in-house or external).
• • Time off with pay to carry out their functions, or to attend training.
• • Adequate facilities to allow them to carry out their functions.
• • View specific documentation which concerns health and safety issues. Information need not be given to safety representatives on matters that:
• • Personal health or medicalrecords of specific individuals
• • Information regarding national security
• ·· • ·Information not related to health arid-safety issues
• • Where the information would contravene a statutory prohibition imposed on the employer
• • Information obtained by the employer in connection with court proceeding
• • Information that could damage the employer's business interests.

Complaints against the employer concerning refusal to provide or allow time off for training and for not paying for that time are both heard by an Employment Tribunal

Functions of representatives

Safety representatives have functions to:

• Make representations to the employer on hazards and incidents affecting his constituents' health and safety.
• Receive information from the HSE.
• Investigate potential hazards and incidents affecting those they represent.
• Investigate complaints by those they represent.
• Carry out inspections of the workplace subject to the agreement of the employer.
• Attend meetings of a safety committee (if there is one and they are a member of the committee).

Safety Committees

A Company must form a safety committee when requested to do so by two or more recognized trade union appointed safety representatives.
Safety committees should be made up of a number of union appointed safety representatives plus where appropriate a number of elected non-union safety representatives and appointed representatives of management.
An important feature in setting up a safety committee is to draw up a clearly defined constitution and remit and to discuss these with safety representatives. This way, there is no misunderstanding as to what the committee will be doing and everyone knows the ground rules before they start.

Two main features of the constitution should be:

• To clearly define the role of the safety committee as being one of an advisory nature to line management.
• To ensure that the committee does not become bogged down looking at 'things' but rather at areas where the normal day to day management is not coping, or managing non-conformances in working conditions or practices.

For example, the committee should identify all deficiencies as being one of two non-conformances, i.e. either a non-conformance to the management system (someone is not doing the right thing) or, alternatively, a non-conformance of the management system (where the management system does not cope).
Whilst we all accept that accidents are caused by people, we often find, by observing the minutes of
Safety Committee meetings, that the committee is too concerned with 'things' that are wrong and not people's attitudes.
If, therefore, the committee looks at 'things' but observes these as indicative of attitudes, then it will be much more effective in assisting to develop a good safety culture within the organisation.

The following items are important in the operation of a safety committee:

• The committee members should be given adequate training in the job they are doing and also information regarding how the committee will operate. By doing this in advance, we will deal with issues before they become emotive
• Safety committees should meet on a regular basis.
• Members of the committee should be identified to the workforce in order that they may be communicated with.
• Members of the committee, in small groups, should carry out sliced safety audits and report their findings back to the main committee.
• The committee should consider accidents and near-miss incidents which could have resulted in serious injury and recommend to the company action, where action could be taken, to prevent a recurrence.
• The committee should review and consider any new legislation or court actions relevant to the company's business.
• The committee should keep minutes and distribute them as required as soon after the meeting as possible.

The committee should work to a formalised agenda. This could be standardised as follows:

1. Opened by the Chairman
2. Attendancetaken
3. Apologies
4. Minutes, as distributed, approved
5. *Any other competent business (this would be added below at item 10)
6. Agenda approved
7. Business arising from minutes
8. Safety report by the company
   (NB: this could be by the Safety Advisor of the company and could include accident statistics, reports and actions taken to avoid recurrences etc.)
9. Correspondence, including reports from sliced audits, new legislation, complaints made by employees to safety representatives, applicable court cases or from sub­ committees appointed by the committee.
10. Any other business (added from item 5 above)
11. Date of next meeting
12. Close of meeting

* By asking for any other business.early in the meeting it:

• Makes members think about things they wish to bring to the committee before they come to the meeting, rather than just re-acting to business as it is discussed.
• Allows the chairperson to allocate time for important items rather than 'other business' beif!g added as the meeting progresses.

It is also recommended that the company safety advisor chair the safety committee.This is because:

• As safety advisor they can be seen to be neutral and independent.
• It takes a senior manager away from the position of making instant decisions.

Remember:

'OUR SECOND THOUGHT ABOUT ANYTHING TENDS TO BE BETTER THAN OUR INSTANT ONE'

The proper structure and use of a safety committee will ensure effective relations between management and staff through their Safety Representatives.

NCC2: Construction health and safety practical application Part III

This Post follows on from a couple I posted a few of months ago for NCC2, this takes it to the final stages where we have to complete the practicle observation walkaround and then prepare a writtenn report to management

NCC2: Construction health and safety practical application Part I

NCC2: Construction health and safety practical application Part II

Sample report

Important Notes:

1. This report is not the only way that can be used to write your report, merely an example of what would obtain a good pass.


2. All defects noted should be chronologically numbered. This will allow for easy reference to items in when writing the report to management.


3. If you are carrying out inspections in more than one area, please start a new observation sheet for each area.


4. Number pages as in the sample report.


5. Please ensure your writing is reasonably legible and leave a space between each paragraph.


6. Do not attempt to re-write your observation sheets in the time that you are given to write your report to management. If you do, you will run out of time.


7. The observation sheets used in this post are similar to those you would be given during the actual inspection.


8. You will be supplied with a several headed sheets of paper. Ensure you complete the headings required.
   


9. We recommend that you number each item so that you may refer to it in your report tomanagement.


10. It is anticipated that the following sample report would receive reasonably good marks in all section

  

NATIONAL CERTIFICATE IN CONSTRUCTION HEALTH AND SAFETY	Practical unit marking sheet
Unit NCC2 — CONSTRUCTION HEALTH AND SAFETY PRACTICAL APPLICATION		Sheet number ___of_
Candidate name	Candidate number C
Place inspected	Date of inspection

Observations		Priority/ Risk	Actions to be taken (if any)	Time scale
List hazards, unsafe practices and good practices		(H, M, L)	List all immediate and longer-term actions required	(immediate, 1 week, etc.)
1 The guard on lathe No.4 was lying on an adjacent bench		H	Replace guard and instruct the operator it must not be removed	Immediate
2 Tools and waste were lying on a side bench		L	Tools should be properly stored and, Waste put into a waste receptacle	Immediate One week
3 Empty cardboard boxes were lying around on the floor		L	Remove boxes to store or to waste skip as appropriate	One week
4The local exhaust ventilation(LEV) was not properly  connected to the bench grinder		M	Secure the LEV to the grinder and instruct the supervisor to be vigilant and ensure it is always connected	Immediate
5 A pool of oil was on the floor next to drill number 4		H	Clean up the oil and speak to the operator	Immediate
6 The earth wire to the                electric welding booth table is broken		H	This should be connected at once Efforts should be made to enquire if this was due to lack of knowledge or negligence.	Immediate Two weeks
7 Tins of solvents were lying vented to atmosphere		M	These should be removed or capped Operators should be instructed this must not recur.	Immediate One week
8 The Forklift truck was blocking access to a fire point		L	The driver should be instructed to move the truck to a safe parking place, given the reason why and told not to park it in such a position again.	Immediate
9 The guard on drilling machine No.12 was hanging loose on one bolt		M	Secure the guard. Enquiries should be made as to why it was not reported	Immediate
10 Oil was being stored in two mineral bottles		L	Remove the bottles Employees should be reminded that This practice is unacceptable  and given the reasons why.	Immediate
11The visual panel on milling machine (No.9) was cracked		L	The guard should be repaired. Enquire from the operator when this had happened and if it had been reported	One week Immediate
12 A pallet was partially blocking a passageway		L	The pallet should be removed and the forklift  driver informed not to block passageways at any time	One week
13 An obsolete Factories Act 1961 poster was on  display. Other notices    were noted for their  absence		L	Remove the obsolete poster. Replace other statutory and information posters as required.	One month
14 Cigarette ends were observed on the floor of the flammable goods store		H	An investigation should be initiated to find out who was smoking and appropriate action taken. Supervisors should be reminded they are expected to be vigilant and spot such unsafe practices	Immediate
15 The lighting above the variable speed turning lathe is  undiffused fluorescent lights		M	This type of lighting could cause a stroboscope effect on moving parts and should  either be defused or replaced.	Two weeks
16 Cans of paint and empty oil containers had been dumped in the skip for ordinary waste.		M	Remove these cans and drums and have them taken away as hazardous waste by a specialist waste removal company. Instruct staff this must not happen again.	Immediate One week
17 Damage safety goggles and gloves were lying around at  random throughout the machine shop		L	These should be removed. Staff reminded of their legal duty to take care of their PPE.	Immediate One week
18 Various hand-tools were lying around damaged. Files  were  observed with no handles on them		M	Such tools can be dangerous to use and should either be scrapped or repaired. Staff should be reminded of their duty of care	Immediate One week
19 Storage racking had obviously been hit by the forklift truck		L	The racking should be repaired and inquiries made  as to why the damage had not been reported. Consideration should be made as to whether  the driver should be disciplined or trained.	One month

Note: Start a new sheet for each location visited, but continue the number sequence of observations.

Report to Senior Management

Candidate name _________________________________ Candidate Number C___________

Place inspected  _________________________________ Date of Inspection ____ /___ /____

Introduction:

This inspection was carried out to identify:

• Hazards and potentially dangerous situations and areas


• Breaches of statutory or common law duties of care


• Time-scaled recommendations in order to appropriately deal with the hazards, dangerous situations and breaches of legislation identified

The inspection was carried out at a time when no work was being undertaken; therefore observations are only made on the conditions observed at the time of the inspection and any reasonable assumptions that can be made as a result of the observations.

General Observations:
Generally the safety standards observed throughout the premises inspected were reasonable and displayed a good degree of general safety practices and awareness. However there were a number of deficiencies noted mostly of low risk, which are indicative of a certain degree of slackness both in terms of safety supervision and of diligence amongst the workforce.
Observations and recommendations on the necessary action to be taken by local managers and supervisors are shown on the appended observation sheets.
There were two items noted that required immediate attention because of the nature of the hazard and the imminent nature of the associated danger. These are highlighted on the inspection sheets. In each case the deficiencies and recommendations were immediately made known to the local manager for his/her attention.

1. The earth wire on the metal table in the electric welding booth was broken
This is a breach of the Electricity at Work Regulations 1989 and could have resulted in a prohibition notice being served and a criminal prosecution being undertaken against both the company and/or individual members of management or staff (see item 6 on the observation sheets).

Recommendation

Whilst this particular incident may have received immediate attention it is recommended that the supervisor be instructed to ensure no recurrence of this type of incident takes place.



1. Cigarette ends on the floor of the flammable goods store.

Smoking in this area could well result in an explosion. The condition of the cigarette ends suggests that this was no isolated incident. The smoking shows a blatant disregard for the 'No Smoking' notice that is prominently displayed (see item 4 on the observation sheets)

Recommendations:

As these cigarette ends were easily observed it should also have been obvious to supervisors who should have taken appropriate action to deal with the situation. It is recommended that supervisors be reminded of their need to be vigilant for such offences. Also a general notice be displayed warning that such smoking is a serious safety violation that will result in severe disciplinary action.

Other Deficiencies:

As shown on the observation sheets there were a number of other items that require your attention.
These can be grouped as follows:
Housekeeping: Items 1, 2, 4, 21, 22 & 25 on the observation sheets

Whilst the overall housekeeping standards were reasonable there were a number of items lying around and other situations that required attention.
Housekeeping is often indicative of the safety culture of an organisation and gives first impressions to visitors such as HSE inspectors, insurance personnel or customers.
Poor housekeeping can cause damage to equipment and products and often leads to accidents. It can also constitute a breach of duties of care under The Workplace (Health, Safety and Welfare) Regulations 1992, Section 2 of the health and Safety at Work etc, Act 1974 and common law duties of care.

Recommendations:
On all these grounds it is worth emphasising to employees and supervisors the need for good housekeeping standards to be maintained at all times.

Machinery Safety: Items 1, 4 & 11 on the observation sheets

Deficiencies include missing, loose or damaged guards and local exhaust ventilation. These are all breaches of The Provision and Use of Work Equipment Regulations 1998

Recommendations:
Instructions should be issued to ensure that guards are not removed and defective equipment is reported in order that repairs may be carried out.
There were also no markings on machines to indicate they had been reviewed to ensure they are in compliance with The Provision and Use of Work Equipment Regulations 1998.

Hazardous Substances: Items 7, 10 & 16 on the observation sheets

A certain degree of carelessness was observed with regards to the storing, use and disposal of dangerous substances. This constitutes a breach of The Control of Substances Hazardous to Health Regulations 2002 and The Environmental Protection Act 1990.

Recommendations:
All personnel, especially managers and supervisors should be reminded of the need to adhere strictly to the company policy on the control of substances hazardous to health as it is a requirement of the 2002 Regulations.

Fire Safety: Items 7, 8 & 14 on the observation sheets

There are a number of non-conformances relating to fire safety such as uncapped tins of solvent, fire doors blocked and evidence of smoking. These are non-conformances to the company's own fire precaution arrangements and are in breach of the Fire Precautions (Workplace) Regulations 1997.

Recommendations:
Staff should be reminded of their statutory and contractual duties to comply with fire prevention and protection arrangements.

Personnel Protective Equipment: Item 17 on the observation sheets

There were a number of damaged safety goggles and gloves lying around the workshop. This clearly indicates that employees are in breach of their duties of care to take reasonable care of equipment supplied to them under the Personal Protective Equipment at Work Regulations 1992.

Recommendations:
All employees must be reminded of their statutory duties of care and that if this abuse continues disciplinary action will be taken. It may also be worth discussing this matter at the next meeting of the company safety committee.

Safety Information and Posters: Item 13 on the observation sheets

An old Factories Act poster was on display. This observation indicates a formal procedure is required to renew and review posters around the premises. This could also indicate a breach of the Health and Safety (Safety Signs and Signals) Regulations 1996.

Recommendations:
It is recommended that a procedure be adopted to review and replace as required notices. Obsolete posters reduce the credibility of all notices on display.

Training

It is recommended that some refresher and upgrading training on safety awareness would be an advantage. This could draw the attention of all staff to their statutory, common and contractual duties of care as well as explaining to them good safety practices and the advantages of developing a good safety culture. The training programme should be commenced within a medium time-scale.

Safety Monitoring

This inspection indicates that in the longer term the company would benefit from setting up a safety inspection and auditing system. These audits will be of value in monitoring health and safety compliance with legal requirements and also the safety management system of the company.

Cost of Compliance

Most of the recommendation made can be implemented at little or no cost. In the replacement of equipment costs will be moderate. Whilst safety training will result in some time off work for those attending in-house courses (approximately one half day each) plus fees to tutors the advantages should more than repay themselves over a period of time.

The Benefits

The benefits of implementing the actions recommended will reduce the possibility of recurrence of these types of non-conformances. It will also benefit the company in reducing damage and lost time incidents as well as assisting to improve the overall safety culture of the organisation.

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Marks for the report to management could be reduced for the following reasons:

Item	Marks available	Reason for low marks
Selection of topics management action for urgent	10	Not emphasising the more serious hazards with no attempt to differentiate between trivial issues and important ones.
Consideration of cost implications	5	Unrealistic costs. Better to use statements such as low, medium or high costs with perhaps a general note emphasising the benefits of spending the money.
Identification of beaches of legislation	5	Breaches of legislation not being   correctly identified. Candidates will not be penalised for omitting the dates of legislation or for referring to items of legislation in shortened terms where the full title has already been given. Inaccuracies, in titles, or confusion where over where the legislation applies will lead to lower marks being awarded.
Presentation of information	10	Lower marks will be given for poorly structured, reports where items are not in a logical sequence or more important topics not highlighted.
Effectiveness in convincing management to take action	15	Marks awarded in this section will reflect the marks awarded in the other section. Vague, weak or erroneous statements will not inspire action by management.

Typical Examination Questions based on Element 2 The Health & safety Policy

As the title sugests this post contains example question from element 2 of the NGC1 Management of health & safety certificate,

The Health & safety Policy

1. Outline the main components of a health and safety management system. (8)


2. Explain the factors that should be considered when drawing up the arrangements section of a safety policy. (8)


3. Outline the factors that should be considered when auditing the effectiveness of compliance with an organisation's health and safety policy. (8)


4. (a) Outline the legal requirements whereby employers must prepare a written statement of their health and safety policy. (2)

(b) Explain the purposes of EACH of the following sections of a health and safety policy document:


(i) 'statement of intent' (2)
(ii) 'organisation' (2)
(iii) 'arrangements' (2)

(c) Outline the issues that are typically included in the arrangements section of a health and safety policy document. (12).


5. (a) Identify the typical content of the 'statement of intent' section of an organisation's health and safety document. (2)
   (b) Outline the factors that may indicate that health and safety standards within an organization do not reflect the objectives within the 'statement of intent'. (6)

Element 2 The Health & safety Policy Typical Exam Questions Answers

E2/1 Answers should have included the objectives set out in HSG65.These are:

The safety policy as being a clear statement of intent, setting the main health and safety aims and objectives of the company

The organisation for health and safety to be such as to ensure clear allocation of responsibilities to members of staff with the emphasis on achieving competency, control, communications and consultation.

Planning and implementation to involve risk assessment, the setting of standards and the introduction of appropriate control measures to achieve standards

Measuring performance by proactive and reactive monitoring methods

Review and auditing to check whether what was planned is actually happening and to consider options for improvement, setting new targets where necessary

E2/2 The answer should include factors rather than a list of topics.
For example, type of Organisation, work processes, hazards, format, layout, skill factors and type of workforce. Marks would be awarded for considering content although this is not the main thrust of this question.

E2/3 Factors that could be included are; the quality, availability and understanding by the workforce of the policy; The use of site tours and inspections etc.; the relevance of performance indicators (e.g. accidents/incident rates); the standard and use of training and maintenance along with records; the cross-checking of health and safety arrangements against practical implementation, the standard of conformance with both management and shop floor activities.

E2/4
(a) The requirements for a safety policy is imposed on employers with 5 or more employees by the Health and safety at Work Act 1974

(b) Statement of intent - demonstrates the organisation's commitment to, and sets objectives for, health and safety

Organisation - identifies health and safety responsibilities and communication channels within the organisation

Arrangements section - details the practical means of achieving the objectives laid down in the policy statement

(c) This section should identify a range of health and safety issues for which arrangements should be in place. For example: Machinery, hazardous substances, manual handling, fire, accident investigation, reporting and control, employee consultation, monitoring arrangements, emergency procedures, risk assessments, maintenance, selection and training of staff etc.

E2/5

1. (a) The 'statement of intent' is designed to provide an overview of the general health and safety goals and objectives of an organization. Additionally, it should be signd by the most senior person in the organization to demonstrate management's commitment to achieving the stated objectives.


2. (b) Answers should include:
   
   
   • Failure to communicate the policy to employees
   • A lack of commitment from management
   • A lack of investment in health and safety
   • A poor overall safety culture
   • High accident, incident and ill-health rates
   • Low moralamongst employees
   • High staff turnover
   • Unacceptable rates of absenteeism
   • Unsafe and poorly maintained equipment
   • Inadequate provision of personalprotective equipment
   • The absence of monitoring procedures.
     

The Health & Safety Policy

This post is inteneded to help explain the purpose and importance of setting policy for health and safety and describe the key features and appropriate content of an effective health and safety policy.

1. The importance of setting policy for health and safety

The most effective means of demonstrating the importance of health and safety issues is for organisations to have a health and safety policy that is signed and dated by the most senior member of the management team. The need for all employers to create in writing a safety policy is a statutory requirement under section 2(3) of the Health and Safety at Work etc. Act 1974. Small organisations with less than 5 employees still require a health and safety policy, but not in writing.
This is only the law emphasising what has been known for many years - good organisations have safety policies at the heart of their safety manag.ement arrangements.
Policies should be 'enabling' like the Health and Safety at Work etc Act itself that is, written in a way that is reasonable and logical and the touchstone against what every activity within the organisation can be benchmarked.
The policy in itself can assign responsibilities and set methods by which the organisation's policy on health and safety issues can be implemented.
These assigned responsibilities and accountabilities must not be in any conflict with any person's job descriptions and should be taken into account when considering if what employees are being asked to do is reasonable within time constraints.
Accountability is the primary key and this is not the same as responsibility. Accountability is responsibility that is evaluated and measured during safety audits and, during annual individual job appraisals.
The policy should include a simple statement of the intent of management, together with the details of the organisation along with delegated responsibilities at each level of the operation.
This policy must be made known to every employee and 'made known' does not mean just displaying it on the company notice board. A useful method to ensure that the policy is 'made known' to every employee is to arrange for them to read it and sign a document to that effect.


2. The key features and appropriate content of an organisation's health and safety policy

We must not get mixed up in our minds between a safety policy and a safety manual. These are not the same even though in some organisations they are combined.
The safety policy should set targets and make reference to the safety manual as well as other stand-alone documentation like maintenance manuals or training programmes.
The policy should provide all employees with concise details of the health and safety objectives of the organisation.
That is what everyone must know and take account of.
Employees must also be aware of their responsibilities as related to their particular job within the organisation and how their actions or inaction impact upon other people..
In large organisations with several sites, possibly doing entirely different types of operations, the safety policy of intent will be the same but detailed arrangements for implementing it will be written at local level.
Organisational arrangements
Whether the company is a multi-national corporation or a small business, the policy must contain the same basic matters.
Obviously, the requirements for large corporati6ns will be much more extensive than for amall business where in many cases the management system can be to a great extent informal.
A health and safety policy will normally have three sections:-
The statement of intention - this will set out an expression of intention, and commitment, to matters concerning health and safety.
The organisation section will describe the responsibility of line managers and employees at all levels.
The arrangements section will detail the way in which health and safety is managed. The arrangement section may include:-

• The systems by which safety performance is monitored in order to identify, record and take appropriate action to deal with deficiencies in performance
• Identification of the main hazards likely to be encountered by the workforce or other persons who may be affected by work activities.
• Significant findings of generic risk assessments and any circumstances when specific risk assessments will be required with arrangements or cross references for dealing with them
• Employee selection criteria and subsequent training arrangements
• Buildings, plant, machinery, equipment selection criteria along with maintenance arrangements and statutory examination and testing
• Material and substance purchasing policy and arrangements
• Safety arrangements for products and services
• Occupational health facilities including first-aid arrangements
• Environmental monitoring policy and arrangements
• Methods of reporting accidents and incidents
• Methods used to investigate accidents and incidents
• Arrangements to validate, appoint and control the work of contractors
• The policy for the assessment of the need for personal protective equipment, it's purchase, availability, use, storage and replacement arrangements along with training requirements
• Workers consultation arrangements, for example, safety committees
• Fire and other emergency arrangements
• Arrangements for dealing with safety violations and of encouraging conformance

Other considerations

Safety policies as written statements of the intention of management should be live working documents. They serve as a record of the standard of care that management is intending to provide.
They offer a useful method of evaluating an organisation in terms of their commitment to health and safety matters.
Unfortunately in a considerable number of organisations, especially smaller ones, the policy is merely a useful document to produce if asked to do so by inspectors, insurance companies or clients. In these cases any similarity between what the policy says and what is happening may be only co-incidental!
In using the policy to validate clients it is important to look closely at samples of activities to assess if the policy is indeed a live enabling one or merely cosmetic.
Because the policy is a statutory requirement it may well be used as evidence during a possible prosecution or civil claim for damages.

Revision of safety policy

Safety policies should be revised as often as is necessary. If the statement of intent is well worded in enabling terms it should, like The Health and Safety at Work etc. Act 1974, stand up well to the test of time.
It is more likely that changes will be required occasionally for one or more of the following reasons:

• New or amended legislation
• The setting of new case law precedents
• Following an incident that demonstrated a need for change

Changes in:

• products or services
• work processes or machinery
• personnel
• hours of work
• premises

The function of the safety policy

Safety policy statements and associate documentation serve as a structure to demonstrate that the organisation is meeting its common and statutory legal requirements. It should always be remembered that the law demands only the minimum of what is acceptable.
Good organisations should use the policy as a stepping-stone to higher objectives that can be based on moral duties and the reduction of financial loss.