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July 2010

Examiners Report

NEBOSH International

Diploma in

Occupational Health

and Safety (Unit IA)

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Examiners Report

NEBOSH INTERNATIONAL DIPLOMA

IN OCCUPATIONAL HEALTH AND SAFETY

Unit IA: International managementof health and safety

JULY 2010

CONTENTS

Introduction 2

General comments 3

Comments on individual questions 4

2010 NEBOSH, Dominus Way, Meridian Business Park, Leicester LE19 1QW

tel: 0116 263 4700 fax: 0116 282 4000 email: info@nebosh.org.uk website: www.nebosh.org.uk

The National Examination Board in Occupational Safety and Health is a registered charity, number 1010444

T(s):exrpts/J /J -A 1007 EXTERNAL DW/DA/REW

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Introduction

NEBOSH (The National Examination Board in Occupational Safety and Health) was formed in 1979 asan independent examining board and awarding body with charitable status. We offer a comprehensiverange of globally-recognised, vocationally-related qualifications designed to meet the health, safety,environmental and risk management needs of all places of work in both the private and public sectors.Courses leading to NEBOSH qualifications attract over 25,000 candidates annually and are offered byover 400 course providers in 65 countries around the world. Our qualifications are recognised by therelevant professional membership bodies including the Institution of Occupational Safety and Health(IOSH) and the International Institute of Risk and Safety Management (IIRSM).

NEBOSH is an awarding body to be recognised and regulated by the UK regulatory authorities:

The Office of the Qualifications and Examinations Regulator (Ofqual) in England The Department for Children, Education, Lifelong Learning and Skills (DCELLS) in Wales

The Council for the Curriculum, Examinations and Assessment (CCEA) in Northern Ireland The Scottish Qualifications Authority (SQA) in Scotland

NEBOSH follows the GCSE, GCE, VCE, GNVQ and AEA Code of Practice 2007/8published by theregulatory authorities in relation to examination setting and marking (available at the Ofqual websitewww.ofqual.gov.uk). While not obliged to adhere to this code, NEBOSH regards it as best practice todo so.

Candidates scripts are marked by a team of Examiners appointed by NEBOSH on the basis of theirqualifications and experience. The standard of the qualification is determined by NEBOSH, which isoverseen by the NEBOSH Council comprising nominees from, amongst others, the Health and SafetyExecutive (HSE), the Confederation of British Industry (CBI), the Trades Union Congress (TUC) andthe Institution of Occupational Safety and Health (IOSH). Representatives of course providers, from

both the public and private sectors, are elected to the NEBOSH Council.

This report on the Examination provides information on the performance of candidates which it ishoped will be useful to candidates and tutors in preparation for future examinations. It is intended tobe constructive and informative and to promote better understanding of the syllabus content and theapplication of assessment criteria.

NEBOSH 2010

Any enquiries about this report publication should be addressed to:

NEBOSH

Dominus WayMeridian Business ParkLeicesterLE10 1QW

Tel: 0116 263 4700Fax: 0116 282 4000Email: info@nebosh.org.uk

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http://www.ofqual.gov.uk/http://www.ofqual.gov.uk/

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General comments

Many candidates are well prepared for this unit assessment and provide comprehensive and relevantanswers in response to the demands of the question paper. This includes the ability to demonstrateunderstanding of knowledge by applying it to workplace situations.

There are always some candidates, however, who appear to be unprepared for the unit assessmentand who show both a lack of knowledge of the syllabus content and a lack of understanding of howkey concepts should be applied to workplace situations.

In order to meet the pass standard for this assessment, acquisition of knowledge and understandingacross the syllabus are prerequisites. However, candidates need to demonstrate their knowledge andunderstanding in answering the questions set. Referral of candidates in this unit is invariably becausethey are unable to write a full, well-informed answer to the question asked.

Some candidates find it difficult to relate their learning to the questions and as a result offer responsesreliant on recalled knowledge and conjecture and fail to demonstrate any degree of understanding.

Candidates should prepare themselves for this vocational examination by ensuring theirunderstanding, not rote-learning pre-prepared answers.

Common pitfalls

It is recognised that many candidates are well prepared for their assessments. However, recurrentissues, as outlined below, continue to prevent some candidates reaching their full potential in theassessment.

Many candidates fail to apply the basic principles of examination technique and for somecandidates this means the difference between a pass and a referral.

In some instances, candidates are failing because they do not attempt all the required questionsor are failing to provide complete answers. Candidates are advised to always attempt an answerto a compulsory question, even when the mind goes blank. Applying basic health and safetymanagement principles can generate credit worthy points.

Some candidates fail to answer the question set and instead provide information that may berelevant to the topic but is irrelevant to the question and cannot therefore be awarded marks.

Many candidates fail to apply the command words (also known as action verbs, eg describe,outline, etc). Command words are the instructions that guide the candidate on the depth of answerrequired. If, for instance, a question asks the candidate to describe something, then few markswill be awarded to an answer that is an outline.

Some candidates fail to separate their answers into the different sub-sections of the questions.These candidates could gain marks for the different sections if they clearly indicated which part ofthe question they were answering (by using the numbering from the question in their answer, forexample). Structuring their answers to address the different parts of the question can also help inlogically drawing out the points to be made in response.

Candidates need to plan their time effectively. Some candidates fail to make good use of theirtime and give excessive detail in some answers leaving insufficient time to address all of thequestions.

Candidates should also be aware that Examiners cannot award marks if handwriting is illegible.

The International Diploma in Health and Safety is taught and examined in English. Candidates aretherefore expected to have a good command of both written and spoken English includingtechnical and scientific vocabulary. The recommended standard expected of candidates isequivalent to the International English Language Testing System (IELTS) level 7 (very good user).

It is evident from a number of scripts that there are candidates attempting the examination withoutthe necessary English language skills.More information on the IELTS standards can be found at www.ielts.org

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UNIT IA International management of health and safety

Section A all questions compulsory

Question 1 (a) Outline the concept of the organisation as a system. (4)

(b) Identify suitable risk controls at EACHpoint within the systemAND give an example in EACHcase. (6)

J ust as a system is comprised of a number of interlinked components so might an

organisation, and candidates were expected to outline these components which couldbe identified as inputs, such as design, procurement, recruitment of personnel, andinformation; processes for example operations both routine and non-routine, plant andmaintenance and outputs such as products, packaging and transport. The system asa whole the organisation would need to interact with the environment inresponding to matters such as the current markets and client needs and would needto be subjected to monitoring procedures and react to any changes found to benecessary.

For part (b), an identification of the risk controls for each component was necessary.For inputs, this would involve controlling the quality of physical resources such asmanaging the supply chain and ensuring conformance with set standards; humanresources by adopting strict recruitment standards designed to ensure competence in

those who were invited to join the organisation and information by ensuring it isalways up to date, relevant and comprehensible. Control of the process and workactivities would be concerned with the premises, plant, procedures and people andwould, by the use of risk assessment, involve the application of hierarchical measuressuch as risk avoidance, risk reduction, risk transfer, risk retention and behavioursafety. The control of outputs would be concerned with products and services andwould address matters such as waste management, product liability insurance,contractual obligations and customer aftercare.

Very few candidates seemed to know what was required in answer to this questionand seemed to be confused by the term system. Some referred to the HSG65 modeland described the roles of senior management in the setting of objectives and targets.For part (b), some answers referred to risk avoidance, reduction and transfer.

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Question 2 A maintenance worker was asphyxiated when working in an empty fueltank. A subsequent investigation found that the worker had beenoperating without a permit-to-work.

(a) Outline why a permit-to-work would be considered necessary in

these circumstances. (3)

(b) Outline the possible reasons why the permit-to-work procedurewas not followed on this occasion. (7)

In answer to part (a) of the question, candidates were expected to outline that a riskassessment of the work to be done would have identified the need for a permit to worksince the activity involved was a non-routine high risk task in a confined space wherethe precautions to be taken were complex particularly since additional hazards mightbe introduced as the work progressed and it was, therefore an activity requiring astructural and systematic approach.

For part (b), one possible reason might have been that no, or an inadequate riskassessment had been carried out and consequently the potential hazards had notbeen identified. There could also have been a poor health and safety culture within theorganisation where violations were routine and where a permit to work system wasconsidered to be too bureaucratic and where complying with the terms of a permitprevents a task being finished quickly particularly when there is pressure to complete.Candidates could also have outlined other reasons such as the difficulty in organisingthe required control measures before starting work, particularly if a competent personwas not at hand to authorise the permit; the failure on the part of management tostress the importance of using a permit in such circumstances and ultimately thepossibility that the organisation had failed to introduce and operate a permit to worksystem.

The question, particularly part (a), produced some reasonable answers which showeda good understanding of the permit to work system and the problems involved in itsuse. For part (b), however, the difficulty in organising the permit and individualcomplacency, were not often mentioned.

Question 3 (a) In relation to a binding contractual agreementgive the meaningof:

(i) express terms; (2)

(ii) implied terms. (3)

(b) In relation to a new contract outline the health and safetyinformation which should be stated in the contract terms. (5)

Express terms are those specifically mentioned and agreed by all parties at the timethe contract is made. They may take account of unusual circumstances but should notinclude unfair terms. Implied terms were not so well understood by candidates. Theyare neither written in the contract nor specifically agreed, are open to interpretationand include terms such as matters of fact, matters of law and matters of custom andpractice. In cases of dispute they may ultimately have to be determined by a court oflaw.

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In relation to a new contract, one might expect to find in the contract terms, referenceto the provision of a safe working environment with safe means of access and egressand the provision of safe plant and equipment. Reference should also be made to theneed to draw up procedures to deal with any emergency that might occur, to provideinformation, training and supervision for the workforce and to ensure adequate welfare

facilities were in place. A few candidates seemed to be influenced by the UnitedKingdoms Construction (Design and Management) Regulations and wrote of theinformation that should be supplied by the client and the principal contractor.

Question 4 Outline a range of factors relating to the individual which influencebehaviour in the workplaceAND give an example in EACHcase. (10)

In answering this question, candidates were expected to outline a range of factorsrelating to an individual that might influence his/her behaviour in the workplace. Thesecould have included amongst others, motivation; personality involving individual traits

and preferences; aptitude perhaps involving innate skills such as the possession ofspecial awareness; experience, education and intelligence; training involving thedevelopment of cognitive and physical skills; perception of risk and disability.

As well as identifying the particular factors, to obtain the marks available, candidateswere also expected to give an example of how each factor might influence theindividuals behaviour in the workplace. Some candidates were often unable toproduce the expected examples while others referred to organisational factors such aslack of policy, pressure of work and peer pressure which were not relevant to thequestion that had been asked.

Question 5 (a) Identify the objectives of Failure Mode and Effects Analysis(FMEA). (2)

(b) Outline the methodology of FMEA AND give an example of atypical safety application. (8)

A good answer to part (a) of this question, and on this occasion there were fewproduced, would have stated that the objective of FMEA is to analyse eachcomponent of a system in order to identify the possible causes of its failure and theeffects of the failure on the system as a whole.

For part (b), the methodology of FMEA includes breaking a system down into its

component parts and identifying all possible causes of failure of the component;assessing the probability of failure and its effects on the system as a whole; identifyinghow the failures might be detected for example by a sensor; assessing the probabilityof failure; allocating a risk priority code to each component based on severity, theprobability of failure and the effectiveness of detection; devising actions to reduce therisk to a tolerable level and documenting the results of the exercise in the conventionaltabular format. Candidates were generally unable to produce an acceptable outline ofthe methodology and showed a poor understanding of the technique. They also haddifficulty in giving an example of typical safety application with many referring only to achemical plant.

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Question 6 (a) Outline the reasons for establishing effective consultationarrangements with workersconcerning health and safety mattersin the workplace. (4)

(b) Outline the range of formal and informal arrangements that may

contribute to effective consultation on health and safety mattersin the workplace. (6)

Few candidates produced good answers for part (a) of the question and seemed tohave little understanding of what consultation might involve. Apart from referring to thelegal requirements for consultation, they were expected to outline other reasons suchas providing a demonstration of management commitment to health and safety;developing ownership of safety measures amongst workers; improving perceptionabout the value and importance of health and safety; and obtaining the input ofworkers knowledge to ensure more workable improvements and solutions.

Part (b) required candidates to outline a range of formal and informal arrangements

that could contribute to effective consultation. There were a number of arrangementsthat could have been outlined such as those involving safety committees and safetyrepresentatives; opportunities that could arise at normal departmental or teammeetings; tool box talks; discussion as part of safety circles or improvement groups;and the use of staff appraisals, questionnaires and suggestion schemes. Again manywere unable to suggest how effective consultation might be achieved in the workplaceeither formally or informally apart from the formation of committees and discussionswith members of Trade Unions. There were even suggestions made that visits to theworkplace by a member of an enforcement authority was an effective form ofconsultation.

Section B three from five questions to be attempted

Question 7 Outline the possible functions of a health and safety practitioner withinan organisationAND give an example in EACHcase. (20)

In answering this question, Examiners were looking to candidates to outline thepossible functions of a health and safety practitioner in an organisation. These wouldinclude helping in the development, implementation and revision of health and safetypolicies; promoting a positive health and safety culture within the organisation;advising management on the requirements of health and safety legislation and givingadvice on risks in the workplace and the appropriate control measures to be adopted;assisting management in setting performance standards and carrying out proactiveand reactive monitoring of the standards when they had been introduced; investigatingaccidents and cases of ill-health; drawing up procedures for vetting the design andcommissioning of new plant and machinery; carrying out or assisting in the audit andreview of health and safety management systems; liaising with enforcementauthorities and maintaining health and safety information systems. Answers weregenerally to a reasonable standard though examples were not provided for each caseas required. Functions that were seldom mentioned included assisting in the setting ofperformance standards, maintaining information systems and vetting the design andcommissioning of new plant.

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Question 8 The manufacturing process of a planned new chemical plant will involvetoxic and flammable substances. The plant is near to a residential area.

Outline the issues to be considered in the development of an emergencyplan to minimise the consequences of any major incident. (20)

The initial issues to be considered in the development of an emergency plan would beto consider the quantity of toxic and flammable substances involved, the possiblecauses of a major incident, the likely extent of the damage and the area of the plantand the surrounding area which is vulnerable. Consideration will then have to begiven to the availability of resources to deal with the incident should it occur and whataction would be taken to minimise its extent by for example shutting off services andcontrolling spillage and pollution. There will need to be a clear allocation ofresponsibilities on site to deal with the incident, to establish a control centre and tomake arrangements for staff and equipment call out. A decision will have to be madeon how the alarm will be raised on site and in the neighbourhood and this will requireliaison with the community and particularly with representatives of the local authority,

the police and the emergency services since while the on site plan will be prepared bythe plant operator, a second off site plan, which may have to consider amongst otherthings the provision of information to nearby residents and the possibility of theirevacuation if an incident were to occur, will be very much the responsibility of the localauthority. The on site plan will also need to address the arrangements for clean upand decontamination after the event and for dealing with the media. It will of course beimperative for the plan once it has been developed to be tested and assessed in amock incident involving both workers and residents.

Most candidates coped well with this question and particularly with the on site plan. Ifthere were deficiencies, it was that references to controlling initial spillage andpollution and cleaning up and decontamination after the event were not often made.

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Question 9 The employer should set up appropriate arrangements to notifyoccupational accidents, occupational diseases, dangerous occurrencesand commuting accidents to the competent authority in accordance withnational laws.

(a) Outline appropriate arrangements which the employer shouldhave in place for notifying such events. (10)

(b) The following information is from a companys annual report :

The company has done much better at health and safety in thelast year compared to previous years. The significant reduction inaccidents and fatalities shown in the table below is due to ournew health and safety advisor and a reduction in staff numbers.The management team are confident of further reductions in2010.

Year Acc idents Staff Numbers Fatalities

2006 240 1500 ?

2007 185 1400 ?

2008 180 1300 11

2009 170 900 4

(i) Calculate the accident incidence rates AND commenton the findings. (5)

(ii) Assess the companys management of health andsafety from the information in the annual report. (5)

The employer should first identify a competent person who will be responsible forreporting accidents and other reportable events to the competent authority. If theworkplace is shared, an agreement will need to be reached on who accepts theresponsibility for reporting. All reported incidents should be investigated again by acompetent person and information on all accidents provided to the workers. Workerswill have to be informed of the system that is adopted and what is expected of themand their cooperation ensured. Records should be kept of any incident that occurs andthese should be easily retrievable though the medical confidentiality of individuals willhave to be respected. Answers to this part of the question were generally lacking indetail with reference being made only to the appointment of a competent person andthe keeping of records.

For part (b)(i), in calculating the accident incidence rates from the information given,

candidates should have divided the number of accidents that occurred by the numberof persons employed and then multiplied the answers by a common and appropriatemultiplier (in this case 1000 workers). The rates would thus appear as follows:

2006: (240/1500) x 1000 =1602007 (185/1400) x 1000 =1322008 (180/1300) x 1000 =1382009 (170/900) x 1000 =188

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Whilst the number of accidents decreased between 2006 and 2009 so did the numberof workers but in 2009 there was a rise in the incidence rate. This part of the questionwas in general well answered, though a few candidates did err in their calculationswhile others appeared not to notice the rise in the incidence rate for 2009.In contrast, part (b)(ii) was poorly answered. In their assessments candidates wereexpected to comment that the annual report was expressed in very general terms,

gave no commitment to the management of health and safety and lacked detail bothon the causes of the accidents and on the safety management systems in place. Thefatality rate seemed to be tolerated and accepted and the company expressed noremorse about their accident performance. Whilst the directors might be confident thatfurther reductions in the number of accidents would occur, apparently ignoring the risein the incidence rate, they gave no indication of how this would occur. Mostcandidates seemed to have little understanding of how to analyse the given data andwere generally able to comment only that no mention had been made in the report ofthe fatal accidents.

Question 10 (a) Outlinethe role of health and safety legislation in the workplace. (10)

(b) Outline the limitations of health and safety legislation in theworkplace. (10)

This question was not popular and few of those who attempted it produced answers toa reasonable standard. For part (a), candidates were expected to outline that the roleof health and safety legislation in the workplace is to provide workers with theminimum standards of health and safety which through employer compliance,prevents injuries and occupational illness. It ensures the appointment of competentworkplace inspectors and allows for penalties against those who are found to bebreaking the law. Prescriptive legislation provides specific advice and rules to followwhile 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 obtainingcompensation even if no fault liability exists in certain countries and is a demonstrationof compliance with ILO conventions. In the answers provided, there was littlereference to the role of legislation in preventing injury through compliance, inpenalising employers who broke the law and in giving the opportunity for the injured toobtain recompense for their injuries.

For part (b), the limitations of health and safety legislation are that in the case ofprescriptive legislation, it quickly becomes outdated, does not address social,technological or economic changes and often lacks detailed regulations to supplementits requirements while the interpretation of goal setting legislation is variable andinconsistent. Much of the legislation addresses industrial safety and not occupational

health. There are often insufficient resources available for inspecting workplaces andenforcing the legislation and often the limited penalties awarded are not a sufficientdeterrent for employers caught breaking the law. Additionally, many employers andworkers are unfamiliar with the content of the legislation and this is not helped by thelack of involvement of employers, trade unions and workers in the process of standardsetting. Again, the main and often sole limitation that came to mind and wasmentioned was the variety and inconsistency in the interpretation of goal settinglegislation.

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Question 11 As the Health and Safety Adviser to a large organisation, you havedecided to develop and introduce an in-house auditing programme toassess the effectiveness of the organisations health and safetymanagement system.

Describe the organisational and planning issues to be addressed in thedevelopment of the audit programme. You do not need to consider thespecif ic factors to be audited. (20)

This question was designed to assess candidates understanding of the organisationaland planning issues to be addressed in the development and implementation of anaudit programme. Some of the issues that needed to be addressed included aconsideration of the logistics and resources required and obtaining the support andcommitment of senior managers and other key stakeholders since if this was notobtained, much required information might not be forthcoming and the value of theaudit would be diminished. Other matters for consideration were the nature, scale andfrequency of the auditing relative to the level of risk involved, the standards against

which the management arrangements were to be audited, the identification of the keyelements of the audit process such as the planning, interviews and verification,feedback routes and the preparation and presentation of the final report, the use of asingle auditor or audit teams whether internal or external, and the training they wouldneed. This was a popular question, but many were not able to obtain all the marksavailable because their answers lacked the required detail. There were few whoconsidered the form the audit was to take, the feedback routes and the preparationand presentation of the final report. The lack of detail resulted in answers which weremore at Certificate rather than Diploma level.

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The National ExaminationBoard in OccupationalSafety and Health

Dominus WayMeridian Business ParkLeicester LE19 1QW

telephone +44 (0)116 2634700fax +44 (0)116 2824000email info@nebosh.org.ukwww.nebosh.org.uk