NEBOSH National General Certificate Health and Safety Policy and Organising Syllabus

According to HSE/IoD guidance 'Leading Health and Safety at Work', what are the three essential principles for directors?

1) Strong and active leadership from the top; 2) Worker involvement (engaging the workforce); and 3) Assessment and review (gaining assurance through monitoring and performance reporting).

Give three examples of how a director can demonstrate visible, active leadership in health and safety.

Any three of: carrying out workplace safety tours/inspections; chairing safety committee meetings; receiving and acting on performance reports; allocating resources and budget; setting objectives and reviewing them; leading by example by following rules and wearing PPE; investigating serious incidents personally.

Why is good standard-setting (leadership) by management important for health and safety culture?

Because managers set the example others follow; if they visibly prioritise safety and follow the rules, workers are more likely to comply. Poor management commitment leads to a poor safety culture and unsafe behaviour.

What is a 'competent person' in health and safety terms?

A person who has sufficient training, knowledge, skills, experience and other qualities to enable them to properly assist the employer in meeting their health and safety obligations and to recognise and control risks.

Which regulation requires an employer to appoint one or more competent persons to assist in complying with health and safety law?

Regulation 7 of the Management of Health and Safety at Work Regulations 1999.

When obtaining competent health and safety assistance, what does the law prefer regarding internal vs external sources?

Employers should give preference to appointing a competent person from within their own organisation (in-house). External assistance should only be used where there is no suitable in-house competence, or to supplement it.

What are the three key attributes summarised in the word 'competence' for a competent person?

A combination of training, knowledge and experience (sometimes expanded to skills, ability and personal qualities) appropriate to the complexity of the work and the risks involved.

Why might an organisation use external health and safety consultants in addition to in-house staff?

To provide specialist knowledge not available internally (e.g. asbestos, noise, occupational hygiene), to give an independent opinion, to cover peak workloads, or where the organisation is too small to justify a full-time in-house specialist.

What is a contractor?

A person or organisation engaged to carry out work for a client (the employer) but who is not an employee of that client — they work under a contract for services rather than a contract of employment.

Why are contractors often associated with higher health and safety risk on site?

They may be unfamiliar with the site's specific hazards and rules, may use their own methods/equipment, may not be properly trained for the site, communication between parties can be poor, and responsibilities can be unclear without proper management.

List the typical stages in the safe management and selection of contractors.

1) Selection/vetting (assess competence and safety record); 2) Planning the work (agree method statements, risk assessments, responsibilities); 3) On-site control (induction, monitoring, supervision); 4) Review/evaluation of performance after the work.

Name four questions you would ask to assess a contractor's competence during selection.

Any four of: Do they have a health and safety policy? Can they provide risk assessments/method statements? What are their accident/enforcement records? What training and qualifications do staff hold? Do they hold adequate insurance? Can they provide references? Are they members of a relevant trade/accreditation body?

What information should a client provide to a contractor before work begins?

Site-specific hazards and risks, site rules and emergency procedures, relevant safe systems of work and permits, contact persons, welfare arrangements, and the standards expected — so the contractor can plan and work safely.

In law, who shares responsibility for the health and safety of contractors working on a client's premises?

Both parties share duties: the client (under Section 3 HSWA) for how its undertaking is conducted, and the contractor (under Section 2 HSWA) for its own employees. Responsibilities should be clearly allocated and overlap is shared, not transferred away.

What is a 'permit-to-work' and how does it relate to contractor control?

A formal, documented safe system of work for high-risk activities (e.g. hot work, confined space, electrical) that controls when and how work is done. It is often used to control contractors carrying out hazardous tasks, ensuring authorisation, isolation and clear hand-back.

Which two main UK regulations require employers to consult workers on health and safety?

The Safety Representatives and Safety Committees Regulations 1977 (SRSCR — for unionised workforces) and the Health and Safety (Consultation with Employees) Regulations 1996 (HSCER — for non-union employees).

Under the SRSCR 1977, who appoints safety representatives and who are they?

Recognised trade unions appoint safety representatives from among the employees they represent (usually members of that union with at least two years' experience where reasonably practicable).

Under the HSCER 1996, what are the two options an employer has for consulting employees not covered by trade union safety representatives?

The employer may consult either (a) directly with the affected employees, or (b) through elected 'representatives of employee safety' (ROES) chosen by the employees.

What is the difference between 'consulting' and 'informing' workers?

Informing is a one-way provision of information to workers. Consulting is a two-way process: the employer not only gives information but listens to and takes account of workers' views before making decisions on health and safety matters.

List four matters on which an employer must consult workers/representatives.

Any four of: the introduction of measures that may substantially affect their health and safety; arrangements for appointing competent persons; the health and safety information they must be given; the planning and organisation of health and safety training; the health and safety consequences of introducing new technology.

List four functions of a trade union safety representative under the SRSCR 1977.

Any four of: investigate potential hazards and dangerous occurrences; investigate complaints from employees they represent; make representations to the employer on health and safety matters; carry out workplace inspections (normally every three months); represent employees in consultations with HSE inspectors; attend safety committee meetings; receive certain information from inspectors.

How often are trade union safety representatives normally entitled to carry out formal workplace inspections?

At least every three months (quarterly), having given the employer reasonable written notice — and more frequently if there has been a substantial change in conditions or a notifiable accident/dangerous occurrence.

What rights/entitlements does a safety representative have to enable them to carry out their functions?

To be given paid time off to perform their functions and to undergo relevant training; access to information from the employer; and facilities/assistance from the employer to carry out inspections and investigations.

Are safety representatives legally liable for the way they carry out their health and safety functions?

No. The appointment and functions of a safety representative do not impose any legal duty or liability on them. The legal duties remain with the employer; performing the role creates no additional personal liability.

When must an employer establish a safety committee under the SRSCR 1977?

When at least two trade union safety representatives request one in writing. The employer must then establish the committee within three months of the request, after consulting the representatives who made it.

What is the purpose/function of a safety committee?

To provide a forum for joint consultation between management and worker representatives — reviewing safety performance, accident statistics, inspection and audit reports, new legislation and risk assessments, and developing/monitoring safe systems of work and improvement actions.

List four factors that help a safety committee operate effectively.

Any four of: clear terms of reference and objectives; balanced membership of management (with authority to act) and worker representatives; regular scheduled meetings; a chairperson and minute-taker; agendas circulated in advance; agreed actions with responsible persons and deadlines; minutes circulated and progress monitored; access to relevant information.

Name two reasons a safety committee might be ineffective.

Any two of: lack of management commitment or authority among members; meetings too infrequent or cancelled; no clear terms of reference; agenda dominated by trivial issues; decisions/actions not followed up; poor minute-keeping; restricted to management with little worker input; viewed as a 'talking shop' with no power to act.

What is meant by 'worker participation' (or worker involvement) in health and safety?

Actively involving workers in health and safety decision-making — going beyond mere consultation — so they help identify hazards, devise controls, and shape policies and procedures, sharing ownership of health and safety.

List four benefits of worker participation/consultation in health and safety.

Any four of: workers' practical knowledge improves hazard identification and control; greater ownership and commitment to safety measures; improved safety culture and morale; controls are more likely to be workable and accepted; reduced accidents and ill health; better two-way communication and trust; legal compliance with consultation duties.

How can effective worker participation contribute to a positive health and safety culture?

It builds trust and ownership, encourages reporting of hazards and near misses, demonstrates that management values workers' input, improves communication, and motivates safe behaviour — all key indicators of a positive (mature) safety culture.