Quiz-summary
0 of 9 questions completed
Questions:
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
Information
Premium Practice Questions
You have already completed the quiz before. Hence you can not start it again.
Quiz is loading...
You must sign in or sign up to start the quiz.
You have to finish following quiz, to start this quiz:
Results
0 of 9 questions answered correctly
Your time:
Time has elapsed
Categories
- Not categorized 0%
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- Answered
- Review
-
Question 1 of 9
1. Question
The operations team at an audit firm has encountered an exception involving Health and Safety Performance Reporting during outsourcing. They report that a third-party logistics provider, managed under a three-year contract, has only been reporting incidents that result in more than seven days of absence, omitting all other accidents and near misses from their monthly safety dashboard. The internal auditor is evaluating whether this reporting practice aligns with the organization’s health and safety policy and legal obligations. Which of the following statements best reflects the auditor’s conclusion regarding the adequacy of this performance reporting?
Correct
Correct: Effective health and safety management systems require both reactive monitoring (like accident rates) and proactive monitoring (like near-miss reporting). By only reporting over-seven-day injuries, the provider is failing to provide the data necessary for the client to identify trends and assess the effectiveness of risk controls, which is a key part of the employer’s ongoing duty of care and management responsibility under the Health and Safety at Work Act and the Management of Health and Safety at Work Regulations.
Incorrect: The claim that reporting is adequate based solely on statutory RIDDOR thresholds is incorrect because management reporting must support risk assessment and control review, which requires broader data than just what is legally reportable to the HSE. The statement that all minor injuries must be reported to the HSE is a factual error regarding RIDDOR requirements. The suggestion that a client’s responsibility is limited to checking insurance certificates ignores the non-delegable duty of care and the requirement to monitor outsourced safety performance to ensure a safe system of work.
Takeaway: Comprehensive performance reporting, including near misses and minor incidents, is essential for effective risk management and fulfilling legal duties in an outsourced environment.
Incorrect
Correct: Effective health and safety management systems require both reactive monitoring (like accident rates) and proactive monitoring (like near-miss reporting). By only reporting over-seven-day injuries, the provider is failing to provide the data necessary for the client to identify trends and assess the effectiveness of risk controls, which is a key part of the employer’s ongoing duty of care and management responsibility under the Health and Safety at Work Act and the Management of Health and Safety at Work Regulations.
Incorrect: The claim that reporting is adequate based solely on statutory RIDDOR thresholds is incorrect because management reporting must support risk assessment and control review, which requires broader data than just what is legally reportable to the HSE. The statement that all minor injuries must be reported to the HSE is a factual error regarding RIDDOR requirements. The suggestion that a client’s responsibility is limited to checking insurance certificates ignores the non-delegable duty of care and the requirement to monitor outsourced safety performance to ensure a safe system of work.
Takeaway: Comprehensive performance reporting, including near misses and minor incidents, is essential for effective risk management and fulfilling legal duties in an outsourced environment.
-
Question 2 of 9
2. Question
You are the portfolio manager at a mid-sized retail bank. While working on Performance Monitoring and Measurement Tools during data protection, you receive a control testing result. The issue is that the quarterly health and safety inspection reports for the regional branches have consistently failed to identify the accumulation of combustible materials in server rooms, despite several near-miss reports being filed by IT staff over the last six months. Which action would best improve the effectiveness of the organization’s performance measurement system in this context?
Correct
Correct: Effective performance monitoring requires a balance of active and reactive measures. By using reactive data (near-misses) to inform active monitoring (checklists), the organization ensures that its proactive tools are relevant and capable of identifying known risks before they escalate into incidents. This creates a feedback loop that strengthens the control environment.
Incorrect: Prioritizing reactive monitoring like RIDDOR events is insufficient because it only measures failures after they occur, rather than preventing them. Spot checks by internal audit on a single department are too narrow and do not address the systemic failure of the monitoring tool itself to capture identified risks. Mandating training on legislation is a general administrative control that does not specifically improve the performance measurement or monitoring process for physical hazards.
Takeaway: A robust performance measurement system uses reactive data to refine active monitoring tools, ensuring that inspections are targeted and effective.
Incorrect
Correct: Effective performance monitoring requires a balance of active and reactive measures. By using reactive data (near-misses) to inform active monitoring (checklists), the organization ensures that its proactive tools are relevant and capable of identifying known risks before they escalate into incidents. This creates a feedback loop that strengthens the control environment.
Incorrect: Prioritizing reactive monitoring like RIDDOR events is insufficient because it only measures failures after they occur, rather than preventing them. Spot checks by internal audit on a single department are too narrow and do not address the systemic failure of the monitoring tool itself to capture identified risks. Mandating training on legislation is a general administrative control that does not specifically improve the performance measurement or monitoring process for physical hazards.
Takeaway: A robust performance measurement system uses reactive data to refine active monitoring tools, ensuring that inspections are targeted and effective.
-
Question 3 of 9
3. Question
The monitoring system at an insurer has flagged an anomaly related to Reviewing Effectiveness of Controls after Change during third-party risk. Investigation reveals that a primary logistics provider recently transitioned to a high-speed automated sorting system to handle increased volume. Although a revised risk assessment was documented prior to the transition, the internal audit department has identified that the number of reported near-misses at the human-machine interface has doubled in the three months following the implementation. Which action should the health and safety lead prioritize to evaluate the effectiveness of the current controls?
Correct
Correct: In accordance with the IOSH ‘Review’ phase of risk management and internal audit best practices, evaluating the effectiveness of controls after a significant change requires verifying that the controls work in a real-world setting. Direct observation allows the auditor or manager to see if the controls are being bypassed or if they are insufficient for the new speed of work, while consultation with frontline staff provides essential qualitative data on hazards that may not be captured in automated logs.
Incorrect: Re-issuing procedures assumes the current controls are adequate and the issue is merely one of communication, failing to investigate if the controls themselves are flawed. Obtaining a manufacturer’s letter of assurance only validates the equipment’s design at the point of sale, not its safe integration into a specific workplace process. Scheduling a broad external audit for the end of the year is a delayed response that does not address the immediate risk indicated by the spike in near-misses.
Takeaway: Effective control review after a change must involve practical verification and worker consultation to ensure that the risk assessment reflects the actual working conditions.
Incorrect
Correct: In accordance with the IOSH ‘Review’ phase of risk management and internal audit best practices, evaluating the effectiveness of controls after a significant change requires verifying that the controls work in a real-world setting. Direct observation allows the auditor or manager to see if the controls are being bypassed or if they are insufficient for the new speed of work, while consultation with frontline staff provides essential qualitative data on hazards that may not be captured in automated logs.
Incorrect: Re-issuing procedures assumes the current controls are adequate and the issue is merely one of communication, failing to investigate if the controls themselves are flawed. Obtaining a manufacturer’s letter of assurance only validates the equipment’s design at the point of sale, not its safe integration into a specific workplace process. Scheduling a broad external audit for the end of the year is a delayed response that does not address the immediate risk indicated by the spike in near-misses.
Takeaway: Effective control review after a change must involve practical verification and worker consultation to ensure that the risk assessment reflects the actual working conditions.
-
Question 4 of 9
4. Question
The quality assurance team at a fund administrator identified a finding related to Health and Safety Performance Measurement and Review as part of market conduct. The assessment reveals that the organization has been relying exclusively on lost time injury (LTI) rates and accident frequency rates over the last 24 months to evaluate the effectiveness of their safety management system. During a site visit to a regional processing center, the audit team observed several bypassed safety interlocks on document shredding machinery and a lack of recent safety committee meeting minutes, despite the low reported injury rates. Which of the following actions would best address the deficiency in the organization’s performance measurement approach?
Correct
Correct: Effective health and safety performance measurement requires a mix of leading and lagging indicators. Leading indicators are proactive measures that monitor the effectiveness of control activities (like inspections and training) before an accident occurs. Lagging indicators, such as LTI rates, only measure outcomes after a failure has happened. By introducing leading indicators, the organization can identify and correct issues like bypassed interlocks or missed meetings before they result in injuries.
Incorrect: Increasing the frequency of lagging indicators still only provides data on past failures and does not help identify the root causes of bypassed controls or administrative lapses. Replacing all reactive measures with qualitative surveys is inappropriate because objective data on incidents is still necessary for benchmarking and legal compliance. Delegating measurement solely to department managers without a centralized framework leads to inconsistency and prevents the organization from having a holistic view of its safety performance and risk profile.
Takeaway: A robust safety management system must utilize both leading indicators to monitor preventative activities and lagging indicators to measure historical outcomes.
Incorrect
Correct: Effective health and safety performance measurement requires a mix of leading and lagging indicators. Leading indicators are proactive measures that monitor the effectiveness of control activities (like inspections and training) before an accident occurs. Lagging indicators, such as LTI rates, only measure outcomes after a failure has happened. By introducing leading indicators, the organization can identify and correct issues like bypassed interlocks or missed meetings before they result in injuries.
Incorrect: Increasing the frequency of lagging indicators still only provides data on past failures and does not help identify the root causes of bypassed controls or administrative lapses. Replacing all reactive measures with qualitative surveys is inappropriate because objective data on incidents is still necessary for benchmarking and legal compliance. Delegating measurement solely to department managers without a centralized framework leads to inconsistency and prevents the organization from having a holistic view of its safety performance and risk profile.
Takeaway: A robust safety management system must utilize both leading indicators to monitor preventative activities and lagging indicators to measure historical outcomes.
-
Question 5 of 9
5. Question
During a periodic assessment of Display Screen Equipment (DSE) Ergonomic Adjustments as part of onboarding at an investment firm, auditors observed that several new analysts were working exclusively on portable laptop computers at their desks for the duration of their seven-hour shifts. While the analysts had been provided with adjustable chairs, no additional peripheral equipment or docking stations had been issued since their start date three weeks ago. Which of the following actions should the organization take to meet its legal health and safety obligations?
Correct
Correct: Under the Health and Safety (Display Screen Equipment) Regulations, employers have a legal duty to assess and reduce risks for ‘users.’ When laptops are used for prolonged periods at a fixed location, they must be treated as display screen equipment. This requires the provision of a screen that is separate from the keyboard (via a stand or external monitor) to allow for a neutral neck and wrist posture, supplemented by a formal workstation assessment.
Incorrect: Liability waivers are legally invalid for discharging statutory health and safety duties. While frequent breaks are a recommended control measure, they do not replace the requirement to provide ergonomically sound equipment for the primary task. Relying solely on self-certification checklists without providing the necessary equipment or ensuring the assessment is ‘suitable and sufficient’ fails to meet the employer’s proactive duty of care.
Takeaway: Prolonged laptop use requires the provision of external peripherals and a formal workstation assessment to prevent musculoskeletal disorders and ensure legal compliance.
Incorrect
Correct: Under the Health and Safety (Display Screen Equipment) Regulations, employers have a legal duty to assess and reduce risks for ‘users.’ When laptops are used for prolonged periods at a fixed location, they must be treated as display screen equipment. This requires the provision of a screen that is separate from the keyboard (via a stand or external monitor) to allow for a neutral neck and wrist posture, supplemented by a formal workstation assessment.
Incorrect: Liability waivers are legally invalid for discharging statutory health and safety duties. While frequent breaks are a recommended control measure, they do not replace the requirement to provide ergonomically sound equipment for the primary task. Relying solely on self-certification checklists without providing the necessary equipment or ensuring the assessment is ‘suitable and sufficient’ fails to meet the employer’s proactive duty of care.
Takeaway: Prolonged laptop use requires the provision of external peripherals and a formal workstation assessment to prevent musculoskeletal disorders and ensure legal compliance.
-
Question 6 of 9
6. Question
The risk committee at an insurer is debating standards for Ethical Decision-Making Scenarios in Safety as part of risk appetite review. The central issue is that a manufacturing client has reported a recurring conflict between meeting a 48-hour delivery threshold for a major contract and the discovery of a defective interlock guard on a primary conveyor system. The site manager is concerned that halting production will result in significant financial penalties and a potential breach of the insurance policy’s business interruption terms. In this scenario, which course of action aligns with the ethical and legal responsibilities defined under the Health and Safety at Work Act 1974?
Correct
Correct: Suspending use and implementing lockout/tagout is the only response that fulfills the legal duty to provide safe plant and systems of work. Under the Health and Safety at Work Act 1974 and the Provision and Use of Work Equipment Regulations (PUWER), equipment must not be used if it poses a risk to health and safety. Ethical safety management dictates that the protection of life and limb must take precedence over production deadlines or financial penalties.
Incorrect: Assigning a spotter is an inadequate control measure that fails to meet the legal requirement for physical guarding and does not eliminate the hazard. Using waivers for senior staff is legally invalid because statutory health and safety duties cannot be waived or transferred through private contracts. Reducing the conveyor speed may reduce the severity of an incident but does not prevent access to the hazard, thereby failing to comply with the hierarchy of control and safety legislation.
Takeaway: Legal and ethical safety obligations require that hazardous equipment be taken out of service immediately when a safety-critical component fails, regardless of production pressures.
Incorrect
Correct: Suspending use and implementing lockout/tagout is the only response that fulfills the legal duty to provide safe plant and systems of work. Under the Health and Safety at Work Act 1974 and the Provision and Use of Work Equipment Regulations (PUWER), equipment must not be used if it poses a risk to health and safety. Ethical safety management dictates that the protection of life and limb must take precedence over production deadlines or financial penalties.
Incorrect: Assigning a spotter is an inadequate control measure that fails to meet the legal requirement for physical guarding and does not eliminate the hazard. Using waivers for senior staff is legally invalid because statutory health and safety duties cannot be waived or transferred through private contracts. Reducing the conveyor speed may reduce the severity of an incident but does not prevent access to the hazard, thereby failing to comply with the hierarchy of control and safety legislation.
Takeaway: Legal and ethical safety obligations require that hazardous equipment be taken out of service immediately when a safety-critical component fails, regardless of production pressures.
-
Question 7 of 9
7. Question
Serving as client onboarding lead at a wealth manager, you are called to advise on Specific Workplace Hazards and Controls during transaction monitoring. The briefing a customer complaint highlights that during a due diligence visit to a high-net-worth client’s manufacturing facility, the client’s staff were seen manually lifting 30kg crates without mechanical assistance. To mitigate the risk of musculoskeletal disorders (MSDs) in accordance with the hierarchy of control, which measure should be implemented first?
Correct
Correct: In the hierarchy of control, elimination is the most effective strategy. By automating the process with a conveyor system, the need for manual handling is removed entirely, which is the most effective way to prevent musculoskeletal disorders.
Incorrect: Providing hydraulic lifting tables is an engineering control that reduces the effort required but does not eliminate the manual handling task. Training is an administrative control that relies on human behavior and is less effective than physical changes. Issuing back-support belts is considered a form of personal protective equipment (PPE), which is the least effective control measure.
Incorrect
Correct: In the hierarchy of control, elimination is the most effective strategy. By automating the process with a conveyor system, the need for manual handling is removed entirely, which is the most effective way to prevent musculoskeletal disorders.
Incorrect: Providing hydraulic lifting tables is an engineering control that reduces the effort required but does not eliminate the manual handling task. Training is an administrative control that relies on human behavior and is less effective than physical changes. Issuing back-support belts is considered a form of personal protective equipment (PPE), which is the least effective control measure.
-
Question 8 of 9
8. Question
When addressing a deficiency in First Aid Provision Standards, what should be done first? A medium-sized engineering firm has recently introduced a 24-hour shift pattern and installed several new pieces of heavy machinery. During a safety walkthrough, it is noted that the existing first aid provision was designed for a smaller, single-shift operation. To ensure compliance and employee safety, what is the most appropriate initial action?
Correct
Correct: A first aid needs assessment is the mandatory starting point under safety management standards to determine the appropriate level of equipment, facilities, and personnel. It ensures that the provision is tailored to the specific risks, such as the hazards of heavy machinery and the logistical challenges of night shifts, rather than relying on guesswork.
Incorrect: Increasing the number of kits or enrolling staff in training are specific implementation steps that should be the outcome of an assessment, not the starting point; taking these actions first may lead to insufficient or inappropriate provision. Updating the Health and Safety Policy is an administrative requirement that must be based on the findings and decisions made during the assessment process.
Takeaway: The first aid needs assessment is the essential tool for determining the adequacy and scale of first aid provision in response to workplace changes.
Incorrect
Correct: A first aid needs assessment is the mandatory starting point under safety management standards to determine the appropriate level of equipment, facilities, and personnel. It ensures that the provision is tailored to the specific risks, such as the hazards of heavy machinery and the logistical challenges of night shifts, rather than relying on guesswork.
Incorrect: Increasing the number of kits or enrolling staff in training are specific implementation steps that should be the outcome of an assessment, not the starting point; taking these actions first may lead to insufficient or inappropriate provision. Updating the Health and Safety Policy is an administrative requirement that must be based on the findings and decisions made during the assessment process.
Takeaway: The first aid needs assessment is the essential tool for determining the adequacy and scale of first aid provision in response to workplace changes.
-
Question 9 of 9
9. Question
A regulatory inspection at a broker-dealer focuses on Work Equipment Defect Reporting in the context of change management. The examiner notes that during a recent office consolidation, several high-volume document scanners were reported as having exposed wiring and overheating issues. While these defects were recorded in the maintenance log, the units remained plugged in and available for staff use for 14 days until the next scheduled inspection. Which control deficiency should the auditor highlight as the primary failure in the organization’s health and safety management system?
Correct
Correct: Under health and safety legislation such as PUWER (Provision and Use of Work Equipment Regulations), work equipment must be maintained in a safe condition. A reporting system is fundamentally flawed if it does not include a mechanism for immediate isolation. When a defect is identified that poses a risk (like exposed wiring), the equipment must be taken out of use immediately and clearly labeled with ‘out-of-service’ tags to prevent accidental use by other employees before repairs are completed.
Incorrect: Performing a cost-benefit analysis is a financial management function and does not address the immediate physical risk to employees. While a centralized digital dashboard might improve management oversight, it does not provide the necessary physical control to stop a staff member from using a dangerous machine. Increasing the frequency of inspections or daily checks is a proactive measure, but the primary failure in this scenario is the lack of reactive control once a hazard was already known and documented.
Takeaway: An effective defect reporting system must ensure that faulty equipment is immediately isolated and clearly marked as unsafe to prevent use until it is made safe.
Incorrect
Correct: Under health and safety legislation such as PUWER (Provision and Use of Work Equipment Regulations), work equipment must be maintained in a safe condition. A reporting system is fundamentally flawed if it does not include a mechanism for immediate isolation. When a defect is identified that poses a risk (like exposed wiring), the equipment must be taken out of use immediately and clearly labeled with ‘out-of-service’ tags to prevent accidental use by other employees before repairs are completed.
Incorrect: Performing a cost-benefit analysis is a financial management function and does not address the immediate physical risk to employees. While a centralized digital dashboard might improve management oversight, it does not provide the necessary physical control to stop a staff member from using a dangerous machine. Increasing the frequency of inspections or daily checks is a proactive measure, but the primary failure in this scenario is the lack of reactive control once a hazard was already known and documented.
Takeaway: An effective defect reporting system must ensure that faulty equipment is immediately isolated and clearly marked as unsafe to prevent use until it is made safe.