Idip Revision QAns RRC 2010-13

NEBOSH
International Diploma in Occupational Health and Safety
UNIT IA: International management of health and safety
Exam questions and answers

from January 2010 to January 2013
NEBOSH Examiners’ reports*
*NEBOSH International Diploma Examiners’ reports can be downloaded by NEBOSH students from the NEBOSH website
Element
Element IA1 –IA1 – Principles
Principles ofmanagement
of health and safety health and safety management
(a) The purpose of the organisation section of a health and safety policy is to identify health and safety
(a) Outline the purpose of 4 responsibilities within the company and ensure effective delegation and reporting lines. The purpose of the
the ‘organisation’ and marks section on arrangements is to set out in detail the specific systems and procedures that aim to assist in the
‘arrangements’ implementation of the general policy.
sections of a health
(b) Making all people in an organisation aware of their roles for health and safety will assist in defining their
and safety policy.
individual responsibilities and will indicate the commitment and leadership of senior management. A clear
(b) Outline why it is 8 delegation of duties will assist in sharing out the health and safety workload, will ensure contributions from
important that all marks different levels and jobs, will help to set up clear lines of reporting and communication and will assist in
workers are aware of defining individual competencies and training needs particularly for specific roles such as first aid and fire.
their roles and Finally, making individuals aware of their own roles and responsibilities can increase their motivation and
responsibilities for help to improve morale throughout the organisation.
health and safety in an
(c) Relevant issues include:
organisation.
 safe systems of work such as permit to work procedures
(c) Identify the issues that 8  arrangements for carrying out risk assessments
could be included in marks  controlling exposure to specific hazards for example noise, radiation and manual handling
the ‘arrangements’  monitoring standards of health and safety in the organisation by means of safety tours, inspections
section of an and audits
organisation’s health  the use of personal protective equipment such as harnesses and RPE
and safety policy.  arrangements for reporting accidents and unsafe conditions
 procedures for controlling and supervising contractors and visitors
 arrangements for maintenance whether routine or planned preventative
 welfare arrangements such as the provision of washing facilities
 procedures for dealing with emergencies such as fire, flooding and bomb threats
 the provision of safety training
 arrangements for consultation with the workforce through safety representatives or safety committees
 environmental control including noise monitoring and the disposal of waste.
2 Exam question information: January 2010 / optional

Element IA1 – Principles of health and safety management
Health and safety practitioners can evaluate their own practice in a

Outline ways in which a health and safety 10 number of ways:
practitioner could evaluate and develop their marks  Measuring the effect of changes and developments they have
own competence. implemented in their organisation
 Setting personal objectives and targets and assessing their
performance against them
 Reviewing failures or unsuccessful attempts to produce change
 Benchmarking their practice against that of other practitioners and
against good practice case studies or information
 Seeking feedback from others in the organisation and as part of the
annual appraisal of their performance by senior management.
Health and safety practitioners can develop their own practice by:
 Obtaining a recognised professional qualification to further improve
their core knowledge and competence
 Keeping up to date by undertaking training in relevant areas
 Participating in CPD schemes
 Ensuring they have access to suitable information sources
 Networking with peers at safety groups and conferences
 Seeking advice from other competent practitioners and consultants
 Initiating and following a personal development plan.
3 Exam question information: January 2011 / compulsory

The possible functions could include:

Outline, using appropriate examples, the 10  helping in the development, implementation and revision of health
possible functions of a health and safety marks and safety policies
practitioner within a medium-sized  promoting a positive health and safety culture within the organisation
organisation.  advising management on the requirements of health and safety
legislation and giving advice on risks in the workplace and the
appropriate control measures to be adopted
 assisting management in setting performance standards and carrying
out proactive and reactive monitoring of the standards when they had
been introduced
 investigating accidents and cases of ill-health
 drawing up procedures for vetting the design and commissioning of
new plant and machinery
 carrying out or assisting in the audit and review of health and safety
management systems
 liaising with enforcement authorities and maintaining health and
safety information systems.

(a) The policy section of a health and safety management system should, following consultation with
(a) Outline the requirements 11 workers and their representatives, set out in writing a policy which should be specific to the
for the development of and marks organisation, appropriate to its size and the nature of its activities and be concise, clearly written and
key objectives within the dated and made effective by the signature or endorsement of the employer or the most senior
policy section of a health accountable person in the organisation. The policy should be communicated and made readily
and safety management accessible to all persons at their place of work, reviewed for continuing suitability and revised when
system such as that seen to be necessary. Additionally it should be made available to relevant external interested parties as
detailed in the ILO- OSH- appropriate. The key objectives of the policy should be to protect the safety and health of all members
2001 Guidelines on of the organisation by preventing work related injuries, ill-health, diseases and incidents and these
Occupational Health and would be achieved by complying with relevant occupational health and safety national laws and
Safety Management regulations, voluntary programmes, collective agreements on occupational safety and health and other
Systems. requirements to which the organisation subscribes. Achievement of the objectives would also be aided
(i) by ensuring that workers and their representatives are consulted and encouraged to participate actively
(b) Describe how the 6
in all elements of the organisation’s occupational safety and health management system with the aim of
effectiveness of a marks
securing a continual improvement in the standard of the system.
health and safety
management system (b) (i) The effectiveness of a health and safety management system might be measured both by
could be measured. proactive and reactive measures. Proactive measures of performance involve carrying out
(ii) activities such as safety inspections, tours and audits while reactive measures embrace amongst
Giving an example in 3
others the investigation of accidents and cases of ill-health and the preparation of incident rates.
EACH case, outline marks
the format in which the (ii) Data gathered on health and safety could be presented in a company annual report by:
data gathered on  graphical representations such as pie charts and histograms displaying accident statistics
health and safety  tabular numerical representations such as for example the number of risk assessments
performance could be completed
presented clearly in a  textual representations with brief summaries of departmental initiatives and case studies.
company annual report.
5 Exam question information: July 2011 / optional

(a) The benefits of an integrated management system include:

Outline the benefits of:
 consistency of format and a lower overall cost through the avoidance of duplication in
(a) an integrated health 10 procedural,
and safety, marks record-keeping, compliance auditing and software areas
environmental and  avoiding narrow decision making that solves a problem in one area but creates a problem in
quality management another
system  encouraging priorities and resource utilisation that reflect the overall needs of the
(b) 10 organisation rather than an individual discipline
separate health and
safety, environmental marks  applying the benefits from good initiatives in one area to other areas
and quality  encouraging team working and equal influence amongst specialists
management systems.  encouraging the spread of a positive culture across all three disciplines
 providing scope for the integration of other risk areas such as security or product safety.
(b) Benefits from retaining separate systems include:
 providing a more flexible approach tailored to business needs in terms of system complexity
and operating philosophy - for example, safety standards must meet minimum legal
requirements whereas quality standards can be set internally and, therefore, the need for a
more complex system in one element may not be mirrored by a similar need in other
elements
 existing systems may work well and the process of integration may expend unnecessary
resources and affect their effectiveness
 business needs may demand systems of different complexity so bureaucracy can be more
easily tailored to the needs of the subject
 separate systems might be clearer for external stakeholders or regulators to understand and
work with
 they may encourage a more detailed and focused approach to auditing and standards.
6 Exam question information: January 2012 & 2013 / optional

Note: From July 2012 examiner’s feedback is much less detailed and
pointers as to the type of things the answer should have included are
An organisation is proposing to move from a health and described. A summary of the feedback for this question is below:
safety management system based on the International  A basic knowledge and understanding of a health and safety
Labour Organization ILO OSH 2001 model to one that management system based on the ILOOSH 2011 model and BS
aligns itself with BS OHSAS 18001. OHSAS 18001 was required in order to answer this question
adequately.
Outline the possible advantages AND 10
 A broad range of areas for consideration are available including
disadvantages of such a change. marks
accreditation, cost, sophistication and integration with other
standards, all of which would have formed the basis of a good outline
of the advantages and disadvantages of such a move.
 Candidates should take note of the command words in each question
as those candidates who tended to list issues, instead of providing an
outline as required by the question, did not gain the marks that were
available for this question.
7 Exam question information: July 2012 / compulsory

Element
Element IA2 – Loss – Loss
IA2causation causation
and incident and incident investigation
investigation
Possible reasons include:

The accident rate of two companies is different although
they have the same size workforce and produce identical  recognition of reportable accidents may differ from company to company
products.  there may be differences in levels of reporting and recording accidents
 the definitions of the accident rate may be different or misinterpreted
Outline possible reasons for this difference. 10  there may be differing means of calculating rates
marks  there could be management issues such as a difference in the level of
commitment
 policies and procedures such as monitoring may be different
 disciplinary procedures for non-compliance by workers may vary.
Additional reasons could include:

 differences in workplace layout and the age and type of the equipment
used
 human resource issues, such as the selection, training and competence of
the workforce together with a possible difference in the companies’ level
of communication and consultation with the staff
 risk control issues, such as the adequacy of risk assessments and the
associated control measures, the existence of safe systems of work and
procedures for the use and maintenance of personal protective equipment
 issues connected with production, such as piece work and shift work and
the winning of bonus payments which could lead to the taking of risks
 cultural issues, such as the attitude, motivation and behaviour of
individuals and the effect that peer pressure might have on health and
safety culture within the organisation.
8 Exam question information: January 2010 & January 2012 / compulsory

Element IA2 – Loss causation and incident investigation
The limitations of relying solely on accident numbers as a measure of health

Explain the limitations of relying only on accident 10 and safety performance include:
numbers as a measure of health and safety marks
 the possibility of under reporting
performance.
 the fact that though there are few accidents, this may not be as a result of
an effective health and safety management system and additionally, in a
low risk business, few accidents are not always an indicator of effective
control, while in a business where the risks are high, a large number of
accidents may not always indicate an ineffective management system
 the number of accidents alone gives no indication of the incidence of ill-
health or the number of near misses that may have occurred
 they do not provide data on the frequency or severity of the accidents that
have occurred, the accident rate relative to the number of workers, nor a
measurement of trends over time
 they do not provide an opportunity for comparisons with a benchmark
standard
 the data produced is historical and reactive, whereas a true indication of
health and safety performance relies on both proactive and reactive
monitoring measures.

(a) Reasons for investigating accidents include:

A forklift truck skidded on an oil spill
causing a serious injury.  to identify their causes, both immediate and underlying
 to prevent a recurrence
(a) Explain why the 4
 to assess compliance with legal requirements
accident should be marks
 to demonstrate management’s commitment to health and safety and to restore worker morale
investigated.
 to obtain information and evidence for use in the event of any subsequent civil claim or criminal
(b) Outline the steps to 10 prosecution
follow in order to marks  to provide useful information for the costing of accidents
investigate the  for identifying trends and to identify the need to review risk assessments and safe systems of work.
accident. (b) An outline of the steps to be followed in a realistic chronological order include:
(c) Identify the possible 6  taking photographs and making sketches and taking measurements of the scene of the accident
underlying causes of marks before anything was disturbed
the accident.  obtaining any CCTV footage available
 examining the condition of the forklift truck and determining its speed at the time of the accident
 determining the load that was being carried, the safe working load of the truck and any forward
visibility problems with the load in place
 inspecting maintenance records and defect reports
 finding out the reasons for the oil spillage, the emergency spillage procedures in place and the
reasons why they were not followed on this occasion
 assessing the competence of the forklift truck driver and examining the workplace to determine any
contributing environmental factors such as the condition of the floor and the standard of lighting
 interviewing relevant witnesses including the injured person if possible.
When all the information has been gathered, it would need to be analysed to establish the immediate
and underlying causes of the accident and a decision made on the measures to be put in place to control
similar risks. The actions to be taken should be prioritised with responsibilities clearly identified and
periodic reviews carried out to assess progress with the completion of the work.
10 Exam question information: January 2010 & July 2011 / optional

(c) Possible underlying causes include:

 inadequate or the absence of risk assessment
 cultural and organisational factors and work pressures
 inadequate or poorly signed pedestrian routes and walkways
 environmental factors such as lighting, floor conditions and spillage control
 poor maintenance and defect reporting procedures
 inadequate monitoring procedures
 a failure to train and supervise the workforce

The employer should set up appropriate arrangements to notify

occupational accidents, occupational diseases, dangerous (a) The employer should first identify a competent person who will be
occurrences and commuting accidents to the competent authority responsible for reporting accidents and other reportable events to the
in accordance with national laws. competent authority.
(a) Outline appropriate arrangements which the 10 If the workplace is shared, an agreement will need to be reached on who
employer should have in place for notifying such marks accepts the responsibility for reporting.
events. All reported incidents should be investigated again by a competent
(b) The following information is from a company’s annual report: person and information on all accidents provided to the workers.
The company has done much better at health and safety in the last Workers will have to be informed of the system that is adopted and what
year compared to previous years. The significant reduction in is expected of them and their co-operation ensured.
accidents and fatalities shown in the table below is due to our new Records should be kept of any incident that occurs and these should be
health and safety advisor and a reduction in staff numbers. The easily retrievable though the medical confidentiality of individuals will
management team are confident of further reductions in 2010.
have to be respected.
Year Accidents Staff numbers Fatalities
(b)(i) To calculate the accident incidence rates from the information given,
2006 240 1 500 ?
divided the number of accidents that occurred by the number of persons
2007 185 1 400 ?
employed, and then multiplied the answers by a common and
2008 180 1 300 11
appropriate multiplier (in this case 1000 workers).
2009 170 900 4
The rates would thus appear as follows:
(i) Calculate the accident incidence rates AND 5
 2006 … (240/1 500) x 1000 = 160
comment on the findings. marks
 2007 … (185/1 400) x 1000 = 132
(ii) Assess the company’s management of health and 5  2008 … (180/1 300) x 1000 = 138
safety from the information in the annual report. marks  2009 … (170/900) x 1000 = 188
Whilst the number of accidents decreased between 2006 and 2009 so
did the number of workers but in 2009 there was a rise in the incidence
rate.

(b)(ii) The annual report was expressed in very general terms, gave no
commitment to the management of health and safety and lacked detail
both on the causes of the accidents and on the safety management
systems in place.
The fatality rate seemed to be tolerated and accepted and the company
expressed no remorse about their accident performance.
Whilst the directors might be confident that further reductions in the
number of accidents would occur, apparently ignoring the rise in the
incidence rate, they gave no indication of how this would occur.
13 Exam question information: July 2010/ optional

(a) Giving reasons in EACH 5 (a) Potential interviewees could include:

case identify FIVE marks (1) the injured person who would be able to relate what happened
persons who could be (2) an eye witness or the first person on the scene who might have observed what happened
interviewed to provide (3) the first aid person who attended to the injured party at the scene of the accident with
information for an respect to the injuries received
investigation into a (4) the injured person’s manager and/or supervisor who would have knowledge of the process
workplace accident. involved, the existing safe systems of work, the procedures that should have been followed
and the training and instruction that had been given to the victim
(b) Outline the issues to 5
(5) a technical expert with specialist knowledge of the process or machine involved
consider when preparing marks
(6) a Trade Union representative who would have knowledge of any previous complaints or
the accident investigation
incidents associated with the machine or process
interviews for workers
(7) the safety advisor who would be fully briefed on the systems of work that should have been
from within the
followed and any possible breaches of the legislation.
organisation.
(b) One of the important issues to be considered would be the need to carry out the investigation
interviews as soon as possible after the event, though it may be necessary to postpone the
process if the witness is injured or in shock. A suitable date would have to be provided taking
into account the availability of the people to be called since shift patterns might have a part to
play.
That done, the next step would be to identify the interviewers, to consider where the interviews
would be held and how they would be recorded whether by tape recorder, by dictaphone or hand
written and to gather together any relevant documentation such as risk assessments or training
records.
It would also be important to bear in mind the requirements of employment law and trade union
issues such as employee rights, the right to be accompanied or to have legal representation.
Finally consideration would have to be given to the format and distribution of the final accident
report and how the information gathered might be used to introduce measures to prevent a
recurrence or as a possible defence in any possible prosecution or civil law suit.

Element IA3 – Measuring
Element IA3 – Measuring and
and reviewing health reviewing
and safety performance health and safety performance
The organisational and planning issues that need to be addressed include:

 consideration of the logistics and resources required
As the Health and Safety Advisor to a large  obtaining the support and commitment of senior managers and other key stakeholders
organisation, you have decided to develop and  the nature, scale and frequency of the auditing relative to the level of risk involved
introduce an in-house auditing programme to  the standards against which the management arrangements were to be audited
assess the effectiveness of the organisation’s  identification of the key elements of the audit process such as the planning, interviews and
health and safety management arrangements. verification, feedback routes and the preparation and presentation of the final report
 recognition of the need to develop audit protocols and consider issues such as scoring or
Describe the organisational and 20
the use of proprietary software
planning issues to be addressed in the marks
 the types of auditing (such as comprehensive, horizontal or vertical slicing)
development of the audit programme.
 scope of the audit (such as management system elements or selected performance
You do not need to consider the standards)
specific factors to be audited.  use of a single auditor or audit teams
 training of auditors and briefing of those members of the organisation who were likely to be
affected.
15 Exam question information: July 2010 & July 2012 / optional

Element IA3 – Measuring and reviewing health and safety performance
(a) Explain the objectives of: (a) (i) The objective of active monitoring is to give an overview of the strategies currently
in place to control risk and to provide information on how the system operates in
(i) active health and safety monitoring 5
practice. It can thus identify risks of accidents, injuries, ill-health and loss and by
(ii) reactive health and safety 5 ensuring appropriate health and safety systems and procedures are in place, allows
monitoring marks the initiative to be taken before things go wrong.
(b) Outline FIVE active health and 5 (ii) The objective of reactive monitoring is to measure historic performance by looking
safety monitoring methods. marks at events that have occurred and by identifying the consequences of a hazard and
the cause of failure, to establish what systems and procedures can and should be
(c) Outline FIVE reactive health and 5 put in place to prevent a recurrence. It also provides data which may be used to
safety monitoring methods. marks assess and compare trends over time.
Both active and reactive monitoring may be used to measure legal compliance or
non-compliance and by providing a basis for continual improvement may
demonstrate commitment on the part of management and improve the morale of the
workforce.
(b) Active monitoring methods include safety inspections, safety surveys, audits,
sampling, environmental monitoring, health surveillance and benchmarking.
For each of the 5 methods an outline should have indicated the role of the chosen
methods, for example:
 safety inspections are regular and scheduled activities identifying existing
conditions and comparing them with agreed performance objectives
 an audit involves a comprehensive and often an independent examination of
all aspects of an organisation’s health and safety performance against stated
objectives.

(c) Reactive monitoring methods include, amongst others, accident investigation, the
investigation of near miss incidents, ill-health reports, enforcement action and the
number of civil claims, property damage, complaints from workers, and the costs to
the employer that might be revealed through using these methods.
For each of the 5 methods an outline should have indicated more detail, such as:
 using the investigation of accidents to determine their root causes and indicate
why the standard of performance was sub-standard
 a study of the action taken by the enforcement authorities together with the
number of civil claims to point to specific breaches of legislation and to
indicate the need for improvements to be made in the management of health
and safety.

Element IA3 – Measuring and reviewing health and safety performance
Outline the issues that should be 10 Issues to be considered when planning a health and safety inspection programme
considered when planning a health and marks include:
safety inspection programme.  composition and competence of the inspection team
Information on the specific workplace  the specific areas of the workplace to be inspected
conditions or behaviours that might be  the frequency and timings of the inspections which may have to be more
covered in an inspection is not required. frequent in higher risk areas, with a decision being made as to whether the
inspections would take place at peak working times or during slow periods and
whether they should be planned or unannounced
 the method of carrying out the inspections and whether check lists should be
prepared and if so by whom
 the possible need to provide personal protective equipment for the inspection
team
 the involvement of the workforce in consultation on the proposed programme
 the need to obtain senior management support and commitment for the
inspection programme
 consulting previous inspection reports and researching applicable legislation and
standards
 deciding on procedures to be followed after the inspection to ensure appropriate
remedial action is taken.

Element IA4 – Identifying
Element IA4 – Identifying hazards, assessing hazards, assessing and evaluating risks
and evaluating risks
With reference to the illustration below outline hazard and 10 The hazard and consequence (Bow Tie) analysis is used to
consequence (Bow Tie) analysis. marks
identify top events or incidents, to assess their potential
hazards or threats and to identify control barriers or
precautions to prevent the top event occurring.
The left hand side of the illustration comprises a fault tree or

causal analysis. Ideally the barriers should be sufficient to
prevent the top event occurring but it has to be appreciated
that controls cannot always be 100% reliable. Accordingly the
analysis assesses mitigation or recovery measures and
suggests barriers that need to be in place to minimise the
consequences of the incident and to aid recovery. The right
hand side of the illustration is considered to be an event tree
or consequence analysis.
The Bow Tie analysis depicts risks in readily understandable

ways to all levels of personnel. It is a structured approach to
risk analysis and is used where qualification is not possible or
is undesirable. It may also have a use in the investigation of
accidents.

Element IA4 – Identifying hazards, assessing and evaluating risks
An organisation should carry out a risk assessment The factors to be considered when carrying out a risk
before developing a safe system of work. assessment include:
(a) Outline the factors that should be 10  the detail of the activity or task concerned and the
considered when carrying out a risk marks equipment and materials involved
assessment.  any guidelines or information provided by the
manufacturer
 the number and type of persons to be involved in the
activity
 the hazards associated with the activity and the
likelihood and severity of their associated risks
 the adequacy of existing control measures
 accident history and previous experience
Note: the remaining parts of the question are from
 legal requirements
IA5 – Risk control
 the need to involve and consult workers and to use
(b) Give the meaning of the term ‘safe 2 appropriate and familiar language to enhance
system of work’. marks understanding
 monitoring the effects of the assessment once it has
(c) Outline the issues to be addressed 8
been introduced and arranging for periodic reviews
to effectively implement a safe marks
 ensuring the competency of the assessor.
system of work.
20 Exam question information: January 2010 & July 2011 / compulsory

(a) Outline the principles, application and limitations 6 (a) Event Tree Analysis is based upon binary logic, for
of Event Tree Analysis as a risk assessment marks example whether an event happens or does not, or
technique. whether a component succeeds or fails.
It is often used to estimate the likelihood of success
(b) A mainframe computer suite has a protective
or failure of safety systems, or to assess particular
system to limit the effects of fire. The system
outcomes from an undesired event.
comprises a smoke detector connected by a power
supply to a mechanism for releasing extinguishing It starts with the initiating event and ends with the
gas. It has been estimated that a fire will occur probability of a situation being controlled or not. It is
once every 5 years (f=0.2/year). Reliability data for limited by the lack of knowledge of component
the system components are as follows: reliability and other data and since it considers only
two possibilities – success or failure – it does not
Component Reliability
take into account partial downgrade (i.e. limited
Detector 0.90 success).
Power supply 0.99 (b) (i) An event tree similar to the one on the next page
should have been constructed.
Extinguishing gas mechanism 0.95
Marks were awarded for:
(i) Construct an event tree for the above scenario to 10
 the general construction of the tree
calculate the frequency of an uncontrolled fire in marks
 calculations of failure rates from component
the computer suite. reliability data
(ii) Suggest ways in which the reliability of the system 4  calculation of system failure rate from individual
could be improved. marks failure rates
 conversion of failure rate per year to failure
every ‘X years’ which in this case was once in
every thirty two years.
21 Exam question information: January 2011 /optional

(b) (i) Event tree:
(b) (ii) The reliability of the system could have been improved by:
 choosing more reliable components
 using components in parallel, for example since the detector was the least reliable component increasing its number
 installing a second independent but parallel system.

A chemical reaction vessel is partially filled with a mixture of highly flammable liquids. (a) A fault tree similar to the one on the next
It is possible that the vessel headspace may contain a concentration of vapour page should have been constructed.
which, in the presence of sufficient oxygen, is capable of being ignited. A powder is
The fault tree should have enabled the
then automatically fed into this vessel.
calculation of frequency of ignition would be
Adding the powder may sometimes cause an electrostatic spark to occur with 0.008 per year, or once in every 125 years
enough energy to ignite any flammable vapour. There is concern that there may be
an ignition during addition of the powder.
To reduce the risk of ignition, an inert gas blanket system is used within the vessel (b) A description of any relevant modifications
headspace designed to keep oxygen below levels required to support combustion. In would be appropriate, provided those which
addition, a sensor system is used to monitor vessel oxygen levels. Either system would make a greater contribution to reducing
may fail. If the inert gas blanketing system and the oxygen sensor fail the overall risk were selected.
simultaneously, oxygen levels can be high enough to support combustion. These could have included:
Probability and frequency data for this system are given below.  replacing the powder feed with a slurry
Failure type / event Probability
in a conducting liquid
Vessel headspace contains concentration of vapour capable of being 0.5
 selecting and using materials with higher
ignited flashpoints to minimise the probability of
a flammable atmosphere
Addition of powder produces spark with enough energy to ignite vapour 0.8
Inert gas blanketing system fails 0.2 per year
 redesigning the nitrogen blanketing
system to improve reliability.
Oxygen system sensor fails 0.1
(a) Draw a simple fault tree AND, using the above data, calculate the 16
frequency of an ignition. marks
(b) Describe, with justification, TWO plant OR process modifications that 4
you would recommend to reduce the risk of an ignition in the vessel marks
headspace.
23 Exam question information: July 2011 /optional

(a) Fault tree:

(a) Explain the purpose of Job Safety 2 (a) The purpose of Job Safety Analysis is to assess the hazards
Analysis. marks and risks associated with each component of a specific task,
to establish whether adequate precautions are in place in
(b) Outline the methodology of Job 8 order to reduce the risk of injury, and to produce a system of
Safety Analysis. marks work that provides a safe way of performing the task.
(b) The methodology of Job Safety Analysis involves:
 selecting the job or work to be examined
 breaking it down into its chronological component parts
 examining each part to identify its hazards and
associated risks
 developing control measures to eliminate or mitigate the
risks installing the control measures as a safe system of
work
 ensuring that the system is well understood by both
management and workers.
Additionally, it will be necessary to review both the job and its
safe system of work at regular intervals in order to introduce
amendments when conditions and or circumstances have
changed.

A manufacturing company with major on and off site hazards is analysing the (a) An event tree similar to the one on the next page should
risks and controls associated with a particular process and containment failure. have been constructed.
Following a process containment failure (f=0.5/yr), a failure detection mechanism
(b) Calculation on following page.
should detect the release. Once detected, an alarm sounds then a suppressant is
activated. Finally, in order to control the initial release, an operator is required to (c) Factors to be considered in determining whether the
initiate manual control measures following the release of the suppressant. frequency of the
As part of the analysis, the company has decided to quantify the risks associated  uncontrolled risk is tolerable or not include:
with a substance release from the process and develop a quantified event tree  the plant location taking into account the health and
from the data. environmental implications of a release
Activity Frequency/reliability  the cause of the release such as for example, as a
result of a catastrophe together with the inevitable
Process containment failure 0.5 per year
public outrage that it would arouse
Failure detection 0.95
 historical data
Alarm sounders 0.99
 relevant legal requirements
Release suppression 0.85
 the impact that a failure would have on production and
Manual control measures activated 0.8
the cost of control measures
(a) Using the data provided, draw an event tree that shows the 6  published risk data such as those contained in
sequence of events following a process containment failure. marks Reducing Risks Protecting People.
(b) Calculate the frequency of an uncontrolled release resulting from 6 (d) The first step of the methodology for a cost benefit analysis
process containment failure. marks would comprise the quantification of process losses and
improvement costs in terms of monetary value. Should a
(c) Outline the factors that that should be considered when 5
comparison indicate that process losses, together with
determining whether the frequency of the uncontrolled risk is marks
other possible losses such as damage to the organisation’s
tolerable or not.
reputation exceed improvement costs, the improvement
(d) If the risk is found to be intolerable, outline the methodology for a 3 work should be carried out. A payback period would need to
cost benefit analysis with respect to the process described. marks be established with due consideration being given to the
value of the money involved spread over the period of time.

(a) Event tree:
(b) The frequency of an uncontrolled release resulting from process containment failure can be
calculated as:
Release 1 = 0.5 x 0.05 = 0.025/yr
Release 2 = 0.5 x 0.95 x 0.01 = 0.00475/yr
Release 3 = 0.5 x 0.95 x 0.99 x 0.15 = 0.071/yr
Release 4 = 0.5 x 0.95 x 0.99 x 0.85 x 0.2 = 0.08/yr
The frequency of an uncontrolled release would therefore be:
0.025 + 0.00475 + 0.071 + 0.08 = 0.181/yr or once every 5.5 years.

(a) Outline the use and limitations of fault tree analysis. 2

(a) Fault tree analysis is useful in analysing accidents,
marks where there are multiple causes to an accident, to
(b) A machine operator is required to reach between the tools of a vertical calculate the probability of the top event. It can also be
hydraulic press between each cycle of the press. Under fault conditions, used to identify the most effective points of intervention
in order to reduce the probability of the top event
the operator is at risk from a crushing injury due to either (a) the press tool
occurring.
falling by gravity or (b) an unplanned (powered) stroke of the press. The
Fault tree analysis is limited by the requirement of skilled
expected frequencies of the failures that would lead to either of these
analysts to work the calculations out in complex
effects are given in the table below: situations, and its reliance on the accuracy and
Failure type Frequency (per Effect availability of failure data.
year)
Flexible hose failure 0.2 a (b) (i) A fault tree similar to the one on the next page
Detachment of press tool 0.1 a
should have been constructed and quantified.
Hydraulic valve failure 0.05 a
Activation button failure 0.05 b (ii) The risk of 1 accident (per press) in 10 years
Electrical fault 0.1 b (calculated from the fault tree) is too high. If, for
(i) Given that the operator is at risk for 20 per cent of the time that 10 example, there are 10 presses in the factory, there
the machine is operating, construct and quantify a simple fault marks is the risk of one serious accident per year, which
tree to show the expected frequency of the top event (a crushing should not be tolerated.
injury to the operator’s hand). (iii) The general principle of using probability data in a
(ii) Outline, with reasons, whether or not the level of risk calculated 4 fault tree so that priority is given to those actions
should be tolerated. marks that would give the greatest reduction in the
probability of the undesired events. For example:
(iii) Assuming that the nature of the task cannot be changed, 2 gravity fall was highlighted as the most likely event,
explain how the fault tree might be used to prioritise remedial marks so priority should have been given to actions to
actions. prevent this.

(b) (i) Fault tree
29 Exam question information: July 2012 /optional

Element – Risk control
IA5control
Element IA5 – Risk
(b) A safe system of work means the integration of people,

Note: the first part of this question is from IA4 –
Identifying hazards, assessing and evaluating risks equipment, materials and the environment to produce an
acceptable level of safety or a method of carrying out a task in
An organisation should carry out a risk assessment which hazards have been identified and eliminated, or risks
before developing a safe system of work. reduced to an acceptable level.
(a) Outline the factors that should be 10 (c) Issues that should be addressed to ensure the effective
considered when carrying out a risk marks implementation of a safe system of work include:
assessment.
 its timing, taking into consideration the need to avoid shift
 changes and holidays
 the number of persons affected
 the need to communicate with the workforce and to provide
(b) Give the meaning of the term ‘safe 2 them with relevant information using clear and unambiguous
system of work’. marks language
 arranging for the provision of the necessary training
(c) Outline the issues to be addressed 8
 ensuring that managers and supervisors are made aware of
to effectively implement a safe marks
and understand their responsibilities
system of work.
 introducing procedures for securing feedback from the
workers
 making arrangements for the monitoring and periodic review
of the system and to introduce any changes found to be
necessary.

Element IA5 – Risk control
A maintenance worker was asphyxiated when (a) A risk assessment of the work to be done would have identified
working in an empty fuel tank. A subsequent the need for a permit to work, since the activity involved was a
investigation found that the worker had been non-routine high risk task in a confined space, where the
operating without a permit-to-work. precautions to be taken were complex, particularly since
(a) Outline why a permit-to-work would 3 additional hazards might be introduced as the work progressed
be considered necessary in these marks and it was, therefore, an activity requiring a structural and
circumstances. systematic approach.
(b) Outline the possible reasons why 7 (b) One possible reason might have been that no, or an inadequate,
the permit-to-work procedure was marks risk assessment had been carried out and consequently the
not followed on this occasion. potential hazards had not been identified. There could also have
been a poor health and safety culture within the organisation,
where violations were routine and where a permit to work system
was considered to be too bureaucratic, and where complying with
the terms of a permit prevents a task being finished quickly
particularly when there is pressure to complete.
Other reasons include:
 the difficulty in organising the required control measures
before starting work, particularly if a competent person was
not at hand to authorise the permit
 the failure on the part of management to stress the
importance of using a permit in such circumstances
 the possibility that the organisation had failed to introduce
and operate a permit to work system.
31 Exam question information: July 2010 & January 2012/ compulsory

Element IA5 – Risk control
Outline, with appropriate examples, the key features (a) Risk avoidance involves taking active steps to avoid or eliminate risk
of the following risk management concepts: for example by discontinuing the process, avoiding the activity or
(a) risk avoidance 2 marks eliminating a hazardous substance.
(b) risk reduction 2 marks (b) Risk reduction involves evaluating the risks and developing risk
reduction strategies. It requires the organisation to define an
(c) risk transfer 3 marks acceptable level of risk control to be achieved which could be by the
(d) risk retention 3 marks use of safety/risk management systems or the use of a hierarchy of
control measures.
(c) Risk transfer involves transferring risk to other parties but paying a
premium for this, for example by the use of insurance, or the use of
contractors to undertake certain works, or the use of third parties for
business interruption recovery planning or outsourcing a process or
processes.
(d) Risk retention involves accepting a level of risk within the
organisation, along with a decision to fund losses internally. It could
involve risk retention with knowledge, where the risk has been
recognised and evaluated, or risk retention without knowledge, where
the risk has not been identified - obviously an unfavourable position
for the organisation to be in.

Element IA6 – Organisational
Element IA6 – Organisational factors factors
(a) Give the meaning of the term ‘safety 2 Safety culture means shared perceptions, beliefs, attitudes and behaviour
culture’. marks patterns and values that members of an organisation have in the area of
health and safety.
Organisational issues that could act as barriers to the improvement of the safety
(b) Outline a range of organisational issues 8 culture of an organisation include:
that may act as barriers to the marks
 the lack of senior management commitment
improvement of the safety culture of an
 a failure to allocate adequate resources to support improvement
organisation.
 the absence of effective means of communication with workers to secure
their involvement
 a lack of trust and confidence in management by the workforce
 high staff turnover making cultural improvement difficult to embed
 a history of poor industrial relations
 the existence of a blame culture
 workforce cultural issues such as race and language
 the lack of positive decision making by management on the level of priority
accorded to health and safety leading to uncertainty among the workforce.

Element IA6 – Organisational factors
(a) The desire to introduce new procedures and the need to obtain support and
The management of an organisation
commitment and to overcome resistance to change is a common scenario in
intends to introduce new, safer working
safety management. Measures that could have been considered in this scenario
procedures but the workers are resisting
include:
this change.
 the provision of regular and frequent newsletters or memos using language
(a) Outline practical measures 10 and technical content which is clear and easily understood
the organisation could take marks  holding regular meetings between management and the workforce such as
to communicate effectively team briefings and tool box talks
when managing this change.  providing the opportunity for regular meetings between the workforce and
their safety delegates
(b) Outline additional steps the 10
management could take to marks
 placing notice boards at various locations on the site and ensuring that they
display relevant information and are updated at regular intervals
gain the support and
 introducing team building activities and staff suggestion schemes
commitment of workers
 and providing accident and incident data to all the workers.
when managing this change.
(b) Additional steps that management might take to gain the support and commitment
of workers include:
 finding out the reasons for the resistance whether fear of redundancy, de-
skilling or simply a dislike of what is being suggested
 consulting with the workforce and others affected such as in meetings of the
safety committee where there should be equal representation of
management and workers
 using a progressive or step-wise change process and using pilot trials
 setting out clearly the reasons for, and the benefits of, the proposed changes
and affording the workers the opportunity to comment on and contribute to
the change
 providing training to support those affected and ensuring that managers
demonstrate personal commitment to the changes.

(a) Outline the concept of the 4 Just as a system is comprised of a number of interlinked components so might an
organisation as a system. marks organisation be. These components include:
 inputs, such as design, procurement, recruitment of personnel, and information
 processes, such as operations, both routine and non-routine, plant and maintenance
 outputs such as products, packaging and transport.
The system as a whole (the organisation) would need to interact with the environment in
responding to matters such as the current markets and client needs, and would need to be
subjected to monitoring procedures and react to any changes found to be necessary.
(b) Identify suitable risk controls at 6 Identification of the risk controls for each component was necessary.
EACH point within the system marks For inputs, this would involve controlling:
AND give an example in EACH  the quality of physical resources such as managing the supply chain and ensuring
case. conformance with set standards
 human resources by adopting strict recruitment standards designed to ensure
competence in those who were invited to join the organisation information by ensuring
it is always up to date, relevant and comprehensible.
Control of the process and work activities would be concerned with the premises, plant,
procedures and people and would, by the use of risk assessment, involve the application of
hierarchical measures such as risk avoidance, risk reduction, risk transfer, risk retention and
behaviour safety.
The control of outputs would be concerned with products and services and would address
matters such as waste management, product liability insurance, contractual obligations and
customer aftercare.

(a) Outline the reasons for 4 Reasons for establishing effective consultation arrangements include:
establishing effective consultation marks  meeting the legal requirements for consultation
arrangements with workers  providing a demonstration of management commitment to health and safety
concerning health and safety  developing ownership of safety measures amongst workers
matters in the workplace.  improving perception about the value and importance of health and safety
 obtaining the input of workers’ knowledge to ensure more workable improvements
and solutions.
Formal and informal arrangements include:

(b) Outline the range of formal and 6
informal arrangements that may marks  setting up safety committees and appointing safety representatives
contribute to effective consultation  taking advantage of opportunities that could arise at normal departmental or team
on health and safety matters in meetings
the workplace.  delivering tool box talks
 discussions as part of safety circles or improvement groups
 use of staff appraisals, questionnaires and suggestion schemes.

(a) Give the meaning of the term 2

Health and safety culture' means shared perceptions, beliefs, attitudes and behaviour
‘health and safety culture’. marks
patterns and values that members of an organisation have in the area of health and
safety.
An important role for the organisation in the development of a positive health and safety
(b) Outline the role of an 12 culture would be to demonstrate leadership and commitment from the top, which would
organisation in the development marks include the development and implementation of a health and safety policy, identifying and
of a positive health and safety allocating key health and safety responsibilities and ensuring both that adequate
culture. resources are provided for health and safety but that also it is given the same importance
as other objectives such as production and quality.
This should then lead to the completion of the necessary risk assessments, the
introduction of safe systems of work and the provision of training for the workforce.
During this process communication and consultation with the workforce will be of
paramount importance.
Once the systems are in place, it will be imperative that their effectiveness is monitored
on a regular basis and that any deficiencies are seen to be rectified in as short a time as
practicable.

(c) Identify ways of measuring 6 Ways of measuring the effectiveness of a health and safety culture include the assessment
the effectiveness of a health marks of records such as those of:
and safety culture.  accidents and/or incidents together with the findings of any investigations that were
carried out
 cases of ill-health
 staff turnover and sickness absenteeism
 the effectiveness of communication with the workforce and any complaints received on
the subject of working conditions.
The organisation might also make use of surveys, value questionnaires on the subject of
health and safety, appraisal interviews and/or simply by observing the behaviour and
commitment of the workforce.

An organisation should carry out a risk assessment

There are a number of recommendations that might be made to the employer in the
before developing a safe system of work.
scenario described including:
Outline recommendations to assist the 10  arranging for safety representatives to be appointed for each site, by election
employer to effectively consult with the marks if required, and protecting them from dismissal or other measures prejudicial
workers on health and safety matters. to them; ensuring that the safety representatives have access to appropriate
resources to fulfil their functions and have time off their normal duties for
training
 setting up a formal safety committee, to meet on a regular basis to a set
agenda and ensuring that the minutes of the meetings are circulated
throughout the organisation
 providing adequate information to the workforce on health and safety and
consulting them when alterations to work processes are planned which will
have health and safety implications
 allowing access to representatives to all parts of the site to carry out
inspections and arranging for them to meet representatives of the enforcing
authority when they pay a visit to the site
 ensuring there is a visible interest by management in health and safety
matters with a readiness to have consultations on an informal basis with all
workers
 setting up an individual appraisal system where health and safety concerns
will be discussed on a par with other relevant issues.

(a) Organisations are said to have 6

A formal structure or group is hierarchical, generally shown in an organisational chart and
both formal and informal marks
characterised by defined responsibilities and agreed reporting lines. An informal structure,
structures and groups. Outline
on the other hand, is characterised by social and personal relationships, habitual and
the difference between ‘formal’
related contacts and the presence of strong characters with personality and
AND ‘informal’ in this context.
communication skills who may exert personal influence.
(b) The development of a health and 6 The meaning of ‘co-operation’ in this context refers to formal consultation arrangements,
safety culture requires control, co- marks such as those with safety representatives, direct consultation with workers at team
operation, communication and meetings, and participation in safety committee meetings. It also refers to informal
competence. Outline what consultation on safety issues during day to day discussions with workers.
‘co-operation’ means in this ‘Co-operation’ would also include:
context, AND give examples to
 the involvement of workers in safety processes, such as carrying out risk
support your answer.
assessments and developing systems of work
 playing their part in incident investigations, inspections, audits and other monitoring
processes being encouraged to report hazards and ‘near miss’ incidents
 being invited to become members of safety circles for problem solving.
Finally the provision of training and development would be an important factor in
maximising the involvement of workers in health and safety matters.

Element A6 – Organisational factors
(c) Organisational change can, if 8

Organisational change can, if not properly managed, promote a negative health and safety
not properly managed, marks
culture for a number of reasons such as:
promote a negative health
and safety culture. Outline  the profile of safety may not be maintained during the change and new job
the reasons for this. responsibilities may not have covered safety issues comprehensively
 normal consultation mechanisms and routes may be disrupted
 training in safety issues for new job-holders or for new responsibilities may not have
been completed
 the lack of adequate means of communication during the change may compromise trust
and poor consultation on change issues may have a negative effect on co-operation
and on other issues including safety
 there may be concern about job security which could encourage risk taking
 redundancy processes or cost reduction measures may produce a perception that the
organisation is not concerned with personal well-being
 experience or knowledge of risk controls may be lost with changes of personnel
 the safety implications of changes in personnel or numbers may not have been properly
assessed
 extensive movement of personnel makes it harder to establish shared perceptions and
values
 a greater use of outsourcing without good control may result in lower safety standards
by contractors which may affect the perception of priorities
 the effects of natural resistance to change.

Element IA7 –factors
Element IA7 – Human Human factors
The types of human failure could have included skill based errors, mistakes and
A worker has been seriously injured after being violations.
struck by material transported using an overhead
Skill based errors could include:
crane.
 slips of action where a familiar task or action was not carried out as planned
Outline the types of human failure which 10 such as operating the wrong switch or control
may have contributed to the accident marks  lapse of memory where a step in the action sequence was missed, for instance
AND in EACH case give examples commencing the lifting operation out of sequence when other employees were not
relevant to the scenario to illustrate your prepared.
answer.
Mistakes are generally errors of judgement which could be:
 rule based involving the application of the wrong rule such as lifting instead of
lowering, or crossing the path of the lifting operation
 knowledge based such as:
- an unfamiliar situation
- a situation where no rules had been applied
- arriving at a wrong conclusion when, for instance, the crane driver was
undertaking a particular lifting operation for the first time
- the injured person being unaware that the lifting operation was taking place.
Violations or a deliberate failure to follow rules could include:
 not sounding the siren when the lifting operation was taking place
 intentionally walking close to the lifting operation.
A more detailed response could differentiate between routine (a normal way of
working), situational (due to a specific situation, such as time pressure) and
exceptional (rare and generally occurring when something has gone wrong) violations.
42 Exam question information: January 2010 & July 2012 / compulsory

Element IA7 – Human factors
Outline a range of factors relating to the 10 Factors relating to an individual that might influence his/her behaviour in the
individual which influence behaviour in the marks workplace include (amongst others):
workplace AND give an example in EACH
 motivation
case.
 personality involving individual traits and preferences
 aptitude perhaps involving innate skills such as the possession of special
awareness
 experience, education and intelligence
 training involving the development of cognitive and physical skills
 perception of risk and disability
Note: Examiners were expecting an example of how each factor might influence the
individual’s behaviour in the workplace.

(a) Give the meaning of the term 2 Motivation is a driving force or incentive which persuades people to behave in a certain
‘motivation’. marks way and to do something willingly.
(b) Outline with an example in EACH 8 A prime factor in motivating workers to behave in a positive way is the attitude of
case, how workers can be marks management, who should show commitment, lead by example, involve and communicate
motivated to behave in a positive with the workers and give them praise, recognition and encouragement where this is
way. appropriate.
Other motivational factors include job satisfaction where sufficient time is allowed to carry
out a particular activity, where the right equipment is available and the working
environment including welfare facilities is to a good standard, and where there is positive
peer pressure to attain certain goals.
Reward and incentive schemes, together with safety campaigns, have a part to play and
individuals are inclined to react more positively when they are told what particular desired
behaviour is expected of them, and when this is facilitated in such a way as to make it
easy to attain.
Finally, in certain cases, discipline may prove to be a powerful motivational tool.

‘Skill-based’ behaviour involves a low level, pre-programmed sequence of actions

(a) Outline the meaning of ‘skill-based’, 6
where employees carry out routine operations, often as though they were on
‘rule-based’ AND ‘knowledge based’ marks
‘automatic pilot’.
behaviour.
‘Rule-based’ behaviour involves actions based on recognising patterns or situations

and then selecting actions based on a learned set of rules.
‘Knowledge-based’ behaviour is involved at the higher problem-solving level, when

there are no set rules and a decision on the appropriate action to be taken is based
on knowledge of the system.
(b) With reference to practical examples or 14 For ‘skill-based’ behaviour errors may arise if:
actual incidents, explain how EACH of marks  a similar routine is incorrectly selected
these types of operating behaviour can  there is interruption or inattention causing a stage in the operation to be omitted or
give rise to human error AND in EACH repeated
case, explain how human error can be  checks are not carried out to verify that the correct routine has been selected.
prevented. Preventive measures could include:
 designing routines and controls so that they are distinct from each other
 using feedback signals to warn when the wrong course of action is being taken
 allowing adequate work breaks or job rotation to maintain attention
 introducing training, competence assessment and a high level of supervision.
Example: Signals passed at danger on the railway may be a result of skill-based errors.

For ‘rule-based’ behaviour, errors may occur if:

 the diagnosis is based only on previous experience
 sufficient training has not been given to enable employees to make an accurate diagnosis
 there is a tendency to apply the usual rule or solution even if it is inappropriate
 there is simply a failure to remember the rule that should be applied.
Preventive measures include:
 clear presentation of information
 logical and easy to follow rule sets
 systems designed to highlight infrequent or unusual events
 provision of training and competence assessment.
Examples (if properly explained) could have included the Kegworth air crash or Piper Alpha.
For ‘knowledge-based’ behaviour, errors may occur if:

 there is a lack of knowledge or inadequate understanding of the system
 there is insufficient time to carry out a proper diagnosis
 the problem is not properly thought through or evidence is ignored.
Preventive measures include:
 training, particularly in risk and hazard assessment
 the provision of adequate resources in terms of information and time
 the use of supervision and checking systems such as group or peer review.
Examples could have included the explosion at a chemical plant near Flixborough or Port
Ramsgate gangway collapse.

There are many factors that can affect the way that hazards are perceived in the
‘Perception’ may be defined as the process by workplace such as:
which people interpret information that they take in  sensory impairment or health status
through their senses.  intelligence and/or mental capability
Outline a range of factors that may affect 10  the effect of drugs or alcohol
how people perceive hazards in the marks  inattention and boredom
workplace.  the nature of the hazard which may not be readily detectable
 environmental factors that may distract or confuse such as noise or poor
lighting
 interference by the use of personal protective equipment
 the effect of inadequate or ambiguous information and training
 the presence or absence of previous experience of, or exposure to the hazard
 the effect of expectation following exposure to similar situations
 sensory overload, work pressures, stress and fatigue and the pressure exerted
by peer groups.

Outline the desirable design 20

Desirable design features of controls include:
features of controls AND marks
displays on a control panel for
 Keeping their number to a minimum whilst ensuring a sufficient number to control the state of
operation.
a complex industrial process
 A change of system state should only occur after operating a control, and should require a positive
aimed at reducing the
action of the control with immediate feedback to the user.
likelihood of human error.
 A system restart should again only occur after operating a control after a deliberate or non-
intentional stop.
 A stop function should be easy to activate and override start and adjust controls.
 All controls should be visible, positioned and ordered logically so as to follow the process and be
within easy reach of the operator while labelling, shape or colour can be put to effective use to
ensure controls are easily identified.
 The type of control should be appropriate to the degree of control required, for example a lever
may be more appropriate than a knob.
 Recognised conventions should be followed such as up for off, green for on and clockwise to
increase.
 Controls positioned next to their respective displays are also desirable.
Desirable design features for displays include:
 They should be clearly visible and labelled and show steady state.
 They should also clearly indicate change, match expectations and attract the appropriate sense
such as flashing to draw visual attention.
 It is important to use the appropriate type of display for the reading, ie analogue or digital, and
ensure that all dials are in a similar position for “normal” operation.
 Markings on dials and the application of different colours can be used to indicate abnormal
situations.
 Additional design features include shielding bulbs from strong ambient light, shielding glass dials
from glare, and placing displays against a panel of neutral colour.
 Displays should be kept to a minimum and safety critical displays should be separated from other
displays.

(a) In relation to behaviour in the 2 Attitude' is a predisposition to act in a certain way which may be determined by
workplace, outline what is meant by marks ancestry, personal experience or training.
the term ‘attitude’.
Note: the second part of this question is from IA8 – Regulating health and
safety
An organisation should carry out a risk assessment before developing a

safe system of work.
(b) Outline how the media can influence attitudes toward 8
health and safety, making reference to suitable examples marks
where appropriate.

(a) Outline the meaning and relevance of the

In the context of controlling human error in the workplace acceptable outlines would
following terms in the context of controlling human
have been similar to the following:
error in the workplace.
(i) Ergonomics – the design of equipment, task and environment to take
(i) ‘ergonomics’ 2 marks
account of human limitations and capabilities.
(ii) ‘anthropometry’ 2 marks
(ii) Anthropometry – the collection of data on human physical dimensions which
(iii) ‘task analysis’ 2 marks can then be applied to equipment design.
(iii) Task analysis – the breaking down of tasks into successively more detailed
actions which allows an analysis of the scope for human error with each
action.
(b) Excluding ergonomic issues, outline 14 'Individual' improvements would involve:

ways in which human reliability in the marks  careful selection taking into account skills, qualifications and aptitude
workplace may be improved. In your  the provision of appropriate training both at the induction stage and to meet
answer, consider ‘individual’, ‘job’ and subsequent job specific needs
‘organisational’ issues.  the consideration of the special needs of those who may be more vulnerable
 monitoring personal safety performance
 using workplace incentive schemes and assessing job satisfaction
 providing health surveillance and a counselling service for those suffering from
the effects of stress.

'Job' improvements would include:

 the introduction of task analysis for critical tasks
 the design of work patterns and shift organisation to minimise stress and fatigue
 the use of job rotation to minimise monotony
 the introduction of good communication arrangements between individuals, shifts
and groups
 using a sufficient number of personnel to avoid constant time pressures.
'Organisational' improvements would include:

 the development of a positive health and safety culture with the provision of good
leadership example and commitment
 the introduction of effective health and safety management systems
 maximising employee involvement in health and safety issues
 ensuring effective arrangements for employee consultation
 the introduction of procedures for change management
 the provision of an adequate level of supervision.

Element IA8 – Regulating
Element IA8 – Regulating health and safety health and safety
(a) The ILO Codes of Practice contain practical recommendations for those responsible
for health and safety and are intended as guides for public authorities, employers
There are a number of external influences
and workers. They are not intended to replace the provisions of laws and
on an organisation in relation to the
regulations and are not legally binding. They do, however, provide additional
management of health and safety.
information in clear language and provide support for conventions adopted by the
(a) Outline the purpose of 2 ILO.
International Labour marks
(b) The creation of an International Labour Standard is organised by ILO and is initially
Organization Codes of
the subject of an agenda item at the ILO conference. The ILO prepares a report
Practice.
analysing the requirements of members’ laws which is circulated to all members.
(b) Outline how International 4 The item is discussed at conference and a further report is prepared together with a
Labour Standards are marks proposed draft of the standard. This is again put to conference, amended where
created at the International necessary and then proposed for adoption. Adoption needs a two thirds majority of
Labour Conference. members of the conference.
(c) Outline how the 6 (c) International Labour Organization can influence health and safety standards in
International Labour marks different countries in a number of ways including:
Organization can influence  the development of international labour standards through conventions
health and safety standards supplemented by recommendations containing additional or more detailed
in different countries. provisions
(d) Outline how the media 8  the ratification of the conventions by member states which commits them to
apply the terms of the convention in national law and practice
(television news programs, marks
newspapers, radio
 the requirement for member states to submit reports to the ILO detailing their
broadcasts, internet pages,
 compliance with the obligations of the conventions they have ratified
etc.) can influence attitudes  the initiation of representation and complaint procedures against countries for
violation of a convention they have ratified
towards health and safety.
 the provision of technical assistance to member states where this is seen to be
necessary and indirectly through the pressure applied internationally on non-
participating countries to adopt ILO standards.

(d) The global coverage of incidents involving health and safety by the media may
influence the perceptions of the clients, customers and other stakeholders of the
companies or industries involved.
The influence may be positive but normally has the opposite effect.
The coverage is generally sensational, particularly when the incident has resulted in
fatalities or when enforcement action is taken and is specifically designed to attract
attention with the media using to full effect the multiple methods of delivery at its
disposal such as television, radio, print, video and the internet.
In addition to the coverage of incidents, the media may also influence the attitudes
of the public towards health and safety by topic focussed advertising.

Element IA8 – Principles of health and safety law
(a) In relation to a binding contractual agreement (i) Express terms are those specifically mentioned and agreed by all parties at
give the meaning of: the time the contract is made. They may take account of unusual
circumstances but should not include unfair terms.
(i) express terms 2 marks
(ii) Implied terms are neither written in the contract nor specifically agreed, are
(ii) implied terms 3 marks
open to interpretation and include terms such as matters of fact, matters of
law and matters of custom and practice. In cases of dispute they may
ultimately have to be determined by a court of law.
In relation to a new contract, one might expect to find in the contract terms,
(b) In relation to a new contract outline the 5
reference to the provision of a safe working environment with safe means of
health and safety information which marks
access and egress and the provision of safe plant and equipment. Reference
should be stated in the contract terms.
should also be made to the need to draw up procedures to deal with any
emergency that might occur, to provide information, training and supervision for the
workforce and to ensure adequate welfare facilities were in place.
54 Exam question information: July 2010 & January 2012 / compulsory

(a) Outline the role of health and 10 The role of health and safety legislation in the workplace is to provide workers with the minimum
safety legislation in the marks standards of health and safety which, through employer compliance, prevents injuries and
workplace. occupational illness.
It ensures the appointment of competent workplace inspectors and allows for penalties against
those who are found to be breaking the law.
Prescriptive legislation provides specific advice and rules to follow, while the role of goal setting
legislation is to provide general advice and localised interpretation and ownership.
Legislation can address any specific regional needs, may harmonise standards amongst
countries, provides a civil route for obtaining compensation, even if no fault liability exists in
certain countries, and is a demonstration of compliance with ILO conventions.
(b) Outline the limitations of health 10 The limitations of health and safety legislation are that in the case of prescriptive legislation, it
and safety legislation in the marks quickly becomes outdated, does not address social, technological or economic changes and
workplace. often lacks detailed regulations to supplement its requirements.
The interpretation of goal setting legislation is variable and inconsistent. Much of the legislation
addresses industrial safety and not occupational health. There are often insufficient resources
available for inspecting workplaces and enforcing the legislation and often the limited penalties
awarded are not a sufficient deterrent for employers caught breaking the law.
Additionally, many employers and workers are unfamiliar with the content of the legislation and
this is not helped by the lack of involvement of employers, trade unions and workers in the
process of standard setting.
55 Exam question information: July 2010 & July 2012 / compulsory

Element IA8 – Regulating health and safety
Outline, with examples, the benefits and limitations (a) The benefits of prescriptive legislation are that its requirements are
of: clear and easy to apply, it provides a level playing field for all, it is not
(a) prescriptive legislation 5 marks difficult to enforce and does not require a high level of expertise.
(b) goal setting legislation. 5 marks Its limitations are that it is inflexible, may be inappropriate in some
circumstances by requiring too high or too low a standard, it does not
take account of local risks, may need frequent revision to keep up with
changes in technology and knowledge and it stifles innovation.
(b) The benefits of goal-setting legislation are that it has more flexibility in
the way compliance may be achieved, it is related to actual risk and
can apply to a wide variety of workplaces and it is less likely to become
out of date.
These are countered by the fact that it may be open to wide
interpretation and the duties it lays and the standards it requires may
be unclear until tested in courts of law. As a result it may be more
difficult to enforce and may require a higher level of expertise to
achieve compliance.

(a) (i) Corporate probation is a supervision order imposed by a court on a company that has
(a) In relation to the improvement of committed a criminal offence. When applied to a health and safety offence, the order might
health and safety within companies, require the company, for example, to review its safety policy or its health and safety
describe what is meant by: procedures, initiate a training programme for its directors and senior management or reduce
the number of its accidents. Its aim is to instigate a change in the organisation’s culture under
(i) corporate probation 2
the supervision of the court.
marks
(ii) The intention of an adverse publicity order would be to publicise the failings of an organisation
(ii) adverse publicity 2
and, through the process of naming and shaming it to a specific group of people or the general
orders marks
public, seek to change its conduct through public perception. An adverse publicity order may
(iii) punitive damages. 3 require the company to make a public statement and to change its approach to the
marks management of health and safety.
(b) Outline how the 7 (iii) Punitive damages are damages which are over and above those awarded to compensate the
International Labour marks plaintiff, but are designed to reform or deter the defendant and similar persons from pursuing a
Organization can course of action such as that which damaged the plaintiff and, as well as being a deterrent, are
influence health and also intended as a punishment for wilful and malicious conduct.
safety standards in
(b) The ILO can influence health and safety standards in different countries include:
different countries.
 the development of international labour standards through conventions supplemented by
(c) Outline how legislation 6 recommendations containing additional or more detailed provisions
may improve health and marks  the ratification of the conventions by member states which commits them to apply the terms of
safety. the convention in national law and practice
 the requirement for member states to submit reports to the ILO detailing their
compliance with the obligations of the conventions they have ratified
 the initiation of representation and complaint procedures against countries for violation of a
convention they have ratified
 the provision of technical assistance to member states where this is seen to be necessary and
indirectly through the pressure applied internationally on non-participating countries to adopt
ILO standards.

(c) There are two types of legislation, namely prescriptive and goal setting. Whilst the former
provides specific advice together with rules to follow, the latter sets objectives to be achieved
and provides advice and guidance in accompanying codes of practice and guidance.
However, both types of legislation set minimum standards for the management of health and
safety in the workplace, and these standards are enforced by the regulator by means of visits
by trained and qualified inspectors, who identify those situations where the current standards
do not equate to those required by the legislation and accordingly ensure that the appropriate
punishment is applied.
The legislation should apply to all workplaces, creating a level playing field, and compliance by
the employer should secure a reduction in cases of injury and occupational illness.

In relation to health and safety, outline the status and role (a) There are approximately seventy conventions dealing with
of: occupational health and safety and their status is comparable to that
(a) ratified international conventions 5 marks of multilateral international treaties. The conventions create binding
obligations for countries that ratify them and any complaints of non-
(b) ratified international recommendations. 5 marks compliance can be examined by the ILCC.
As for the role of ratified conventions, they lay down the basic
principles to be implemented by ratifying States and their provisions
are used as a basis for establishing national laws. They require States
to report on their application of the conventions and the extent of the
States’ compliance may be examined.
(b) Ratified international recommendations are aimed at member States

but do not have the binding force of conventions and may stand alone
without being linked to any particular convention.
The role of ratified international recommendations is to stimulate and
guide national programmes for member States. Where linked to a
convention, they will elaborate on its provisions and provide more
detail on how it may be applied.

An organisation has decided to adopt a self- (a) One of the important benefits of adapting a self-regulatory model for a
regulatory model for its health and safety health and safety management system is that it is developed by those
management system. directly involved who have a better understanding of the issues
involved, is specific to a particular site or industry, and can generate a
(a) Outline the benefits of adopting a 6
strong sense of ownership with higher levels of compliance.
self-regulatory model. marks
The system is quicker to achieve than that which is dependent on
(b) Outline the limitations of adopting a 4
national legislation, best practice can be adopted which often offers a
self-regulatory model. marks
cheaper and quicker means of addressing issues with the system as a
whole being generally easier to adapt/ and/or update.
(b) The limitations of adopting such as system, however, are that there is
no umbrella standard to strive for and all those involved in the
organisation may not operate within the self-regulatory rules with the
possibility of difficulty arising in working with other companies or sites.
The model may not always fit local circumstances, issues may be
missed and there is a danger that this would result in lower levels of
compliance with a general lowering of standards.
One of the most important limitations is that there will be no third party
or independent auditing and as such the management system may not
be valued as highly by stakeholders.

Note: the first part of this question is from IA7 – Human factors
An organisation should carry out a risk assessment before
developing a safe system of work.
(a) In relation to behaviour in the workplace, 2
outline what is meant by the term ‘attitude’. marks
There are a number of ways in which the media can and have influenced attitudes
(b) Outline how the media can influence 8 towards health and safety.
attitudes toward health and safety, marks  They have the facility to undertake a global coverage of events and can reach a
making reference to suitable examples wide audience using a variety of methods of delivery such as print, television, videos
where appropriate. and the internet.
 The coverage is often sensationalist and can be influenced on occasions by
pressure groups and other bodies such as Greenpeace.
 The influence exerted by the media may be advantageous or detrimental for the
industry or organisations involved particularly those who have high media coverage
which can affect the perceptions of customers, clients and other stakeholders.
Reference to the media coverage of incidents such as Chernobyl, BP Texas and Piper
Alpha were expected.

(a) Identify influential bodies in 10 (a)  Employer and trade associations who set performance standards for their
regulating health and safety marks members and require self-regulation and accredited management systems.
performance AND outline how  Trade unions where representatives check workplace conditions and provide
they may exert their influence. advice and guidance.
 Enforcement agencies who check compliance with standards, provide advice and
(b) Some organisations may decide to adopt
guidance and take enforcement action when this is seen to be necessary.
standards such as OHSAS 18001.
 The ILO who as well as publishing advice and guidance, enforce standards by
Describe how demonstrating compliance
means of conventions and recommendations in ratifying countries.
with such a standard can be used to:
 Insurance companies who require specific performance standards to obtain the
(i) promote health and safety 5 cover they provide.
performance in a company marks  Certification bodies who seek compliance with particular standards.
 Courts of law through their judgements and interpretation of health and safety law.
(ii) regulate health and safety 5
 Pressure groups who may run bad publicity campaigns for non-performing
performance in a company. marks
organisations.
 The media by their publicity and their way of sensationalising certain events.
(b) (i) Compliance with the standard can be used to promote health and safety
performance by:
 communicating minimum standards of performance
 developing systems for compliance supported by senior management and
involving workers in their development
 using departmental auditing scores and internal performance league tables to
encourage compliance
 introducing reward schemes linked to compliance
 using compliance as a marketing tool in attracting clients
 publishing performance achievements in the company’s annual report.

(b) (ii) Compliance with the standard might help to regulate health and safety performance
in a company. For instance, in the case of a failure to maintain compliance,
stakeholders might take retribution against the management team, clients and
business partners may cease to engage with the company, and insurance
companies may withdraw their cover.
Accordingly, the threat of loss of business and damage to the company image may
help to improve standards and management commitment.
Additionally, internal and third party audits will identify failing compliance and
require solutions to be put in place to maintain accreditation with the possibility of
internal sanctions being imposed on offending departments for non-compliance.
Finally, the organisation will always be conscious of the various actions that might
be taken by the accrediting body from informal notification of failure to comply with
the standard, through formal notification if non-conformance were to continue to the
ultimate act of withdrawal of its accreditation.

(a) Outline what is meant by punitive 5 (a) Punitive damages are a monetary award that is paid to the claimant. However,
damages in relation to a marks the intention is not to compensate the injured party but to act as a deterrent or
compensation award clearly punishment to prevent the repetition of the offence by the defendant or others.
stating their purpose AND to Note: referring to what the court would take into account when setting the
whom the damages are paid. amount of the award to be given to the claimant, would have gained extra
(b) In relation to a claim for compensation, marks
outline the meaning of the terms: (b) (i) Compensation paid on a no fault basis would include the fact that the
(i) no fault liability 2 marks injured party is not required to prove fault against the employer. Injury
alone confers the right to compensation which is paid from a central
(ii) breach of duty of care. 3 marks government fund or insurance scheme. Where no-fault compensation is
not available, injured persons will have to prove a breach of a duty of care.
(ii) The three conditions that must be satisfied to establish a breach of duty of
care are that the claimant must show
 there was in fact a duty of care owed by the employer to the claimant
 the employer was in breach of this duty
 the loss, damage or injury incurred resulted from this breach.

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NEBOSH

International Diploma in Occupational Health and Safety

UNIT IA: International management of health and safety

Exam questions and answers

2 Exam question information: January 2010 / optional

Health and safety practitioners can evaluate their own practice in a

3 Exam question information: January 2011 / compulsory

The possible functions could include:

4 Exam question information: January 2011 / compulsory

5 Exam question information: July 2011 / optional

(a) The benefits of an integrated management system include:

6 Exam question information: January 2012 & 2013 / optional

7 Exam question information: July 2012 / compulsory

Possible reasons include:

Additional reasons could include:

8 Exam question information: January 2010 & January 2012 / compulsory

The limitations of relying solely on accident numbers as a measure of health

9 Exam question information: January 2010 / compulsory

(a) Reasons for investigating accidents include:

10 Exam question information: January 2010 & July 2011 / optional

(c) Possible underlying causes include:

11 Exam question information: January 2010 / optional

The employer should set up appropriate arrangements to notify

12 Exam question information: July 2010 / optional

13 Exam question information: July 2010/ optional

(a) Giving reasons in EACH 5 (a) Potential interviewees could include:

14 Exam question information: January 2011 / compulsory

The organisational and planning issues that need to be addressed include:

15 Exam question information: July 2010 & July 2012 / optional

16 Exam question information: January 2011 / optional

17 Exam question information: January 2011 / optional

18 Exam question information: July 2012 / optional

The left hand side of the illustration comprises a fault tree or

The Bow Tie analysis depicts risks in readily understandable

19 Exam question information: January 2010 / optional

20 Exam question information: January 2010 & July 2011 / compulsory

21 Exam question information: January 2011 /optional

(b) (i) Event tree:

22 Exam question information: January 2011 / optional

23 Exam question information: July 2011 /optional

(a) Fault tree:

24 Exam question information: July 2011 / optional

25 Exam question information: January 2012 / compulsory

26 Exam question information: January 2012 /optional

(a) Event tree:

27 Exam question information: January 2012 /optional

(a) Outline the use and limitations of fault tree analysis. 2

28 Exam question information: July 2012 / optional

(b) (i) Fault tree

29 Exam question information: July 2012 /optional

(b) A safe system of work means the integration of people,

30 Exam question information: January 2010 & July 2011 / optional

31 Exam question information: July 2010 & January 2012/ compulsory

32 Exam question information: January 2011 / compulsory

33 Exam question information: January 2010 & January 2013 / compulsory

34 Exam question information: January 2010 & July 2012 / optional

35 Exam question information: July 2010 / compulsory

Formal and informal arrangements include:

36 Exam question information: July 2010 / compulsory

(a) Give the meaning of the term 2

37 Exam question information: January 2011 / optional

38 Exam question information: January 2011 / optional