January 2010

Examiners’ Report
NEBOSH International
Diploma in
Occupational Health
and Safety (Unit IA)
Examiners’ Report

NEBOSH INTERNATIONAL DIPLOMA

IN OCCUPATIONAL HEALTH AND SAFETY

Unit IA: International management

of 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

 Introduction

NEBOSH (The National Examination Board in Occupational Safety and Health) was formed in 1979 as
an independent examining board and awarding body with charitable status. We offer a comprehensive
range 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 by
over 400 course providers in 65 countries around the world. Our qualifications are recognised by the
relevant 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 2007/8” published by the
regulatory authorities in relation to examination setting and marking (available at the Ofqual website
www.ofqual.gov.uk). While not obliged to adhere to this code, NEBOSH regards it as best practice to
do so.

Candidates’ scripts are marked by a team of Examiners appointed by NEBOSH on the basis of their
qualifications and experience. The standard of the qualification is determined by NEBOSH, which is
overseen by the NEBOSH Council comprising nominees from, amongst others, the Health and Safety
Executive (HSE), the Confederation of British Industry (CBI), the Trades Union Congress (TUC) and
the 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 is
hoped will be useful to candidates and tutors in preparation for future examinations. It is intended to
be constructive and informative and to promote better understanding of the syllabus content and the
application of assessment criteria.

© NEBOSH 2010

Any enquiries about this report publication should be addressed to:

NEBOSH
Dominus Way
Meridian Business Park
Leicester
LE10 1QW

Tel: 0116 263 4700

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

2 EXTERNAL
 General comments

Many candidates are well prepared for this unit assessment and provide comprehensive and relevant
answers in response to the demands of the question paper. This includes the ability to demonstrate
understanding of knowledge by applying it to workplace situations.
There are always some candidates, however, who appear to be unprepared for the unit assessment
and who show both a lack of knowledge of the syllabus content and a lack of understanding of how
key concepts should be applied to workplace situations.
In order to meet the pass standard for this assessment, acquisition of knowledge and understanding
across the syllabus are prerequisites. However, candidates need to demonstrate their knowledge and
understanding in answering the questions set. Referral of candidates in this unit is invariably because
they 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 responses
reliant on recalled knowledge and conjecture and fail to demonstrate any degree of understanding.
Candidates should prepare themselves for this vocational examination by ensuring their
understanding, not rote-learning pre-prepared answers.

Common pitfalls
It is recognised that many candidates are well prepared for their assessments. However, recurrent
issues, as outlined below, continue to prevent some candidates reaching their full potential in the
assessment.
 Many candidates fail to apply the basic principles of examination technique and for some
candidates this means the difference between a pass and a referral.
 In some instances, candidates are failing because they do not attempt all the required questions
or are failing to provide complete answers. Candidates are advised to always attempt an answer
to a compulsory question, even when the mind goes blank. Applying basic health and safety
management principles can generate credit worthy points.
 Some candidates fail to answer the question set and instead provide information that may be
relevant 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 answer
required. If, for instance, a question asks the candidate to ‘describe’ something, then few marks
will 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 of
the question they were answering (by using the numbering from the question in their answer, for
example). Structuring their answers to address the different parts of the question can also help in
logically drawing out the points to be made in response.
 Candidates need to plan their time effectively. Some candidates fail to make good use of their
time and give excessive detail in some answers leaving insufficient time to address all of the
questions.
 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 are
therefore expected to have a good command of both written and spoken English including
technical and scientific vocabulary. The recommended standard expected of candidates is
equivalent 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 without
the necessary English language skills.
More information on the IELTS standards can be found at www.ielts.org

3 EXTERNAL
 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 EACH point within the system
AND give an example in EACH case. (6)

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

organisation, and candidates were expected to outline these components which could
be identified as inputs, such as design, procurement, recruitment of personnel, and
information; processes for example operations both routine and non-routine, plant and
maintenance and 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.

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 as
managing the supply chain and ensuring conformance with set standards; human
resources by adopting strict recruitment standards designed to ensure competence in
those who were invited to join the organisation and 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.

Very few candidates seemed to know what was required in answer to this question
and seemed to be confused by the term ‘system’. Some referred to the HSG65 model
and 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.

4 EXTERNAL
Question 2 A maintenance worker was asphyxiated when working in an empty fuel
tank. A subsequent investigation found that the worker had been
operating 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 procedure

was not followed on this occasion. (7)

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

For part (b), one possible reason might have been that no, or an inadequate risk
assessment had been carried out and consequently the 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.
Candidates could also have outlined other reasons such as 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 and ultimately the
possibility that the organisation had failed to introduce and operate a permit to work
system.

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

Question 3 (a) In relation to a binding contractual agreement give the meaning

of:

(i) express terms; (2)

(ii) implied terms. (3)

(b) In relation to a new contract outline the health and safety

information which should be stated in the contract terms. (5)

‘Express terms’ are those specifically mentioned and agreed by all parties at the time
the contract is made. They may take account of unusual circumstances but should not
include unfair terms. ‘Implied terms’ were not so well understood by candidates. They
are neither written in the contract nor specifically agreed, are 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.

5 EXTERNAL
 In relation to a new contract, one might expect to find in the contract terms, reference
to the provision of a safe working environment with safe means of access and egress
and the provision of safe plant and equipment. Reference 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. A few candidates seemed to be influenced by the United
Kingdom’s Construction (Design and Management) Regulations and wrote of the
information that should be supplied by the client and the principal contractor.

Question 4 Outline a range of factors relating to the individual which influence

behaviour in the workplace AND give an example in EACH case. (10)

In answering this question, candidates were expected to outline a range of factors

relating to an individual that might influence his/her behaviour in the workplace. These
could have included amongst others, motivation; 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.

As well as identifying the particular factors, to obtain the marks available, candidates
were also expected to give an example of how each factor might influence the
individual’s behaviour in the workplace. Some candidates were often unable to
produce the expected examples while others referred to organisational factors such as
lack of policy, pressure of work and peer pressure which were not relevant to the
question 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 a

typical safety application. (8)

A good answer to part (a) of this question, and on this occasion there were few
produced, would have stated that the objective of FMEA is to analyse each
component of a system in order to identify the possible causes of its failure and the
effects 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; identifying
how the failures might be detected for example by a sensor; assessing the probability
of failure; allocating a risk priority code to each component based on severity, the
probability of failure and the effectiveness of detection; devising actions to reduce the
risk to a tolerable level and documenting the results of the exercise in the conventional
tabular format. Candidates were generally unable to produce an acceptable outline of
the methodology and showed a poor understanding of the technique. They also had
difficulty in giving an example of typical safety application with many referring only to a
“chemical plant”.

6 EXTERNAL
Question 6 (a) Outline the reasons for establishing effective consultation
arrangements with workers concerning health and safety matters
in the workplace. (4)

(b) Outline the range of formal and informal arrangements that may
contribute to effective consultation on health and safety matters
in the workplace. (6)

Few candidates produced good answers for part (a) of the question and seemed to
have little understanding of what consultation might involve. Apart from referring to the
legal requirements for consultation, they were expected to outline other reasons such
as providing a demonstration of management commitment to health and safety;
developing ownership of safety measures amongst workers; improving perception
about the value and importance of health and safety; and obtaining the input of
workers’ 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 arrangements
that could have been outlined such as those involving safety committees and safety
representatives; opportunities that could arise at normal departmental or team
meetings; tool box talks; discussion as part of safety circles or improvement groups;
and the use of staff appraisals, questionnaires and suggestion schemes. Again many
were unable to suggest how effective consultation might be achieved in the workplace
either formally or informally apart from the formation of committees and discussions
with members of Trade Unions. There were even suggestions made that visits to the
workplace by a member of an enforcement authority was an effective form of
consultation.

Section B – three from five questions to be attempted

Question 7 Outline the possible functions of a health and safety practitioner within
an organisation AND give an example in EACH case. (20)

In answering this question, Examiners were looking to candidates to outline the

possible functions of a health and safety practitioner in an organisation. These would
include helping in the development, implementation and revision of health and safety
policies; promoting a positive health and safety culture within the 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. Answers were
generally to a reasonable standard though examples were not provided for each case
as required. Functions that were seldom mentioned included assisting in the setting of
performance standards, maintaining information systems and vetting the design and
commissioning of new plant.

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

Outline the issues to be considered in the development of an emergency

plan to minimise the consequences of any major incident. (20)

The initial issues to be considered in the development of an emergency plan would be

to consider the quantity of toxic and flammable substances involved, the possible
causes of a major incident, the likely extent of the damage and the area of the plant
and the surrounding area which is vulnerable. Consideration will then have to be
given to the availability of resources to deal with the incident should it occur and what
action would be taken to minimise its extent by for example shutting off services and
controlling spillage and pollution. There will need to be a clear allocation of
responsibilities on site to deal with the incident, to establish a control centre and to
make arrangements for staff and equipment call out. A decision will have to be made
on how the alarm will be raised on site and in the neighbourhood and this will require
liaison 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 by
the plant operator, a second off site plan, which may have to consider amongst other
things the provision of information to nearby residents and the possibility of their
evacuation if an incident were to occur, will be very much the responsibility of the local
authority. The on site plan will also need to address the arrangements for clean up
and decontamination after the event and for dealing with the media. It will of course be
imperative for the plan once it has been developed to be tested and assessed in a
‘mock incident’ involving both workers and residents.

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

8 EXTERNAL
Question 9 The employer should set up appropriate arrangements to notify
occupational accidents, occupational diseases, dangerous occurrences
and commuting accidents to the competent authority in accordance with
national laws.

(a) Outline appropriate arrangements which the employer should

have in place for notifying such events. (10)

(b) The following information is from a company’s annual report :

The company has done much better at health and safety in the
last year compared to previous years. The significant reduction in
accidents and fatalities shown in the table below is due to our
new health and safety advisor and a reduction in staff numbers.
The management team are confident of further reductions in
2010.

Year Accidents Staff Numbers Fatalities

2006 240 1500 ?

2007 185 1400 ?
2008 180 1300 11
2009 170 900 4

(i) Calculate the accident incidence rates AND comment

on the findings. (5)
(ii) Assess the company’s management of health and
safety from the information in the annual report. (5)

The employer should first identify a competent person who will be responsible for
reporting accidents and other reportable events to the competent authority. If the
workplace is shared, an agreement will need to be reached on who accepts the
responsibility for reporting. All reported incidents should be investigated again by a
competent person and information on all accidents provided to the workers. Workers
will have to be informed of the system that is adopted and what is expected of them
and their cooperation ensured. Records should be kept of any incident that occurs and
these should be easily retrievable though the medical confidentiality of individuals will
have to be respected. Answers to this part of the question were generally lacking in
detail with reference being made only to the appointment of a competent person and
the 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 number
of persons employed and then multiplied the answers by a common and appropriate
multiplier (in this case 1000 workers). The rates would thus appear as follows:

2006: (240/1500) x 1000 = 160

2007 (185/1400) x 1000 = 132
2008 (180/1300) x 1000 = 138
2009 (170/900) x 1000 = 188

9 EXTERNAL
 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. This part of the question
was in general well answered, though a few candidates did err in their calculations
while 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 were
expected 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 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. Most
candidates seemed to have little understanding of how to analyse the given data and
were generally able to comment only that no mention had been made in the report of
the fatal accidents.

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

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

workplace. (10)

This question was not popular and few of those who attempted it produced answers to
a reasonable standard. For part (a), candidates were expected to outline that the role
of health and safety legislation in the workplace is to provide workers with the
minimum standards of health and safety which through employer compliance,
prevents injuries and 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. In the answers provided, there was little
reference to the role of legislation in preventing injury through compliance, in
penalising employers who broke the law and in giving the opportunity for the injured to
obtain recompense for their injuries.

For part (b), the limitations of health and safety legislation are that in the case of
prescriptive legislation, it quickly becomes outdated, does not address social,
technological or economic changes and often lacks detailed regulations to supplement
its requirements while 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. Again, the main and often sole limitation that came to mind and was
mentioned was the variety and inconsistency in the interpretation of goal setting
legislation.

10 EXTERNAL
Question 11 As the Health and Safety Adviser to a large organisation, you have
decided to develop and introduce an in-house auditing programme to
assess the effectiveness of the organisation’s health and safety
management system.

Describe the organisational and planning issues to be addressed in the

development of the audit programme. You do not need to consider the
specific factors to be audited. (20)

This question was designed to assess candidates’ understanding of the organisational

and planning issues to be addressed in the development and implementation of an
audit programme. Some of the issues that needed to be addressed included a
consideration of the logistics and resources required and obtaining the support and
commitment of senior managers and other key stakeholders since if this was not
obtained, much required information might not be forthcoming and the value of the
audit would be diminished. Other matters for consideration were the nature, scale and
frequency 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 key
elements 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 a
single auditor or audit teams whether internal or external, and the training they would
need. This was a popular question, but many were not able to obtain all the marks
available because their answers lacked the required detail. There were few who
considered the form the audit was to take, the feedback routes and the preparation
and presentation of the final report. The lack of detail resulted in answers which were
more at Certificate rather than Diploma level.

11 EXTERNAL
The National Examination
Board in Occupational
Safety and Health

Dominus Way
Meridian Business Park
Leicester LE19 1QW

telephone +44 (0)116 2634700

fax +44 (0)116 2824000
email info@nebosh.org.uk
www.nebosh.org.uk