January 2009

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


JANUARY 2009




CONTENTS



Introduction 2



General comments 3



Comments on individual questions 4






2009 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 -A0901 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 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

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 Department for Education and Skills (Df ES), 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 2009


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 one or more of the questions 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 a sufficient degree of
understanding. Candidates should prepare themselves for this vocational examination by ensuring
their understanding, not rote-learning pre-prepared answers.


Recurrent Problems

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.
3 EXTERNAL


UNIT IA International management of health and safety










Section A all questions compulsory

Question 1 Outline ways in which a health and safety practitioner could evaluate and
develop their own competence whilst working in an advisory role. (10)


Health and safety practitioners might evaluate their own practice in a number of ways
including measuring the effects of changes and developments they have introduced
and implemented in their organisations; by setting personal objectives and targets and
assessing their performance against them; by reviewing failures or unsuccessful
attempts to produce change; by benchmarking their practice against that of other
practitioners and against good practice case studies or information; by seeking advice
from other competent professionals; by seeking feedback from others such as clients
of the organisation and as part of the annual appraisal of their performance by senior
management.

They may develop their practice by augmenting their core knowledge and competence
in obtaining a recognised professional qualification; by keeping up to date by
undertaking training in relevant areas; by participating in CPD schemes; by ensuring
they have access to suitable information sources; by networking with their peers at
safety groups and conferences; by seeking advice from other competent practitioners
and consultants and by initiating and following a personal development plan.

Answers to this question were to a reasonable standard though some candidates did
not appear to have given sufficient attention to its wording and outlined the role of a
safety practitioner.



Question 2 Describe the requirements of an interview process that would help to
obtain from witnesses the best quality of information relating to a
workplace accident. (10)


Answers to this question were to a good standard. Candidates who did well
approached the question in a methodical way starting with the need to interview as
soon as possible after the event though it may be necessary to postpone the interview
if the witness is injured or in shock; providing a suitable environment for the interview;
interviewing one witness at a time; putting the witness at ease, establishing a good
rapport, taking care to stress the preventive purpose of the investigation rather than
the apportioning of blame; explaining the purpose of the interview and the need to
record it; using an appropriate questioning technique to establish key facts and
avoiding leading questions or implied conclusions; using appropriate sketches or
photographs to help with the interview; listening to the witness without interruptions
and allowing sufficient time to give their answers; and summarising and checking
agreement at the end of the interview.

Better answers also included the need to adjust language to suit the witness;
clarifying what was actually witnessed as opposed to deduced; inviting the witnesses
to have someone accompany them if they so wish and showing appreciation at the
end of the interview.
4 EXTERNAL

Question 3 A health and safety management programme encompasses the following
concepts:

(a) risk avoidance; (2)

(b) risk reduction; (2)

(c) risk transfer; (3)

(d) risk retention. (3)

Identify the key features of EACH of these concepts AND give an
appropriate example in EACH case.


Risk avoidance involves taking active steps to avoid or eliminate risk for example by
discontinuing the process, avoiding the activity or eliminating a hazardous substance.
Risk reduction involves evaluating the risks and developing risk reduction strategies. It
requires the organisation to define an acceptable level of risk control to be achieved
which could be by the use of safety/risk management systems or the use of a
hierarchy of control measures.

Risk transfer involves transferring risk to other parties but paying a premium for this
for example by the use of insurance; the use of contractors to undertake certain
works; the use of third parties for business interruption recovery planning or
outsourcing a process or processes.

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.

There were again some good answers offered for this question though some
candidates did not provide the required examples.



Question 4 Train drivers may spend long periods of time in the cab of a train and
may experience loss of alertness. This can increase the risk of human
error.

Outline a range of measures that could reduce loss of alertness in train
drivers. (10)


In answering this question it should not have proved too difficult to outline a range of
control measures even though candidates may not have possessed knowledge of the
rail industry. These would include the introduction of a shift system to minimise the risk
of fatigue with controls being introduced on shift length, the provision of regular breaks
and sufficient recovery time particularly during and after the potentially high risk period
between midnight and 06.00 hrs and the assessment of risks from unplanned call-out.
It would also be necessary to introduce a pre-employment medical examination
followed by regular in service health screening including measures to manage stress,
and to put in place an alcohol and substance use policy with arrangements for its
enforcement including random testing. Attention would also have to be given both to
the design of the cabin and the drivers activity including the provision of air
conditioning, controls for illumination and sun shading, adjustable seating and the
introduction of noise control measures. The variation of route allocation may help to
maintain alertness and other measures could have included the fitting of hold to run or
other audible warning devices and the need for the driver to engage in frequent
communication with the guard or control centre.
5 EXTERNAL

Those candidates who did not do so well either wrote at length on the subject of
human error or concentrated only on ergonomic issues.



Question 5 Outline how safety tours could contribute to improving health and safety
performance and to improving health and safety culture within a
company.
Discussion of the specific health and safety requirements, problems or
standards that such tours may address, is not required. (10)


There are a number of contributions that safety tours could make in improving health
and safety performance in a company including helping to identify compliance or non-
compliance with performance standards and, by repetition in the same area, indicating
an improving or worsening trend and checking the implementation and effectiveness
of agreed courses of action. Additionally, when carried out in different areas, they can
point up common organisational health and safety problems and may identify
opportunities for improved performance through the observations of the tour members
or by their conversations with employees during the tour. When tours are carried out
on an unscheduled basis, there is the additional benefit of observing normal standards
of behaviour rather than those specifically adopted for the event.

Tours may also help to improve the health and safety culture of an organisation
particularly if they are led on a regular basis by members of management indicating
their commitment to the cause. Additionally, prompt remedial action for deficiencies
noted enhances the perception of the priority given to health and safety matters whilst
the involvement of employees in the tours will again encourage ownership and
improve their perception of the importance of the subject, particularly if the findings of
the tours are shared with the workforce on a regular basis.

Candidates who structured their answers to deal first with performance and then
culture normally did best though on the whole the standard was little more than
average. Some candidates did nothing more than describe a number of health and
safety requirements.



Question 6 An organisation has decided to adopt a self regulatory model for its
health and safety management system.

Explain:

(a) the benefits; and (6)

(b) the limitations,

of self regulation in connection to the management of health and safety. (4)


One of the more important benefits of self regulation is that it is developed by those
directly involved in the management of health and safety and this can generate a
sense of ownership. Other benefits include the fact that it may be quicker to achieve
than statutory regulation; can result in higher levels of compliance; can easily be
adapted or updated; can often offer a cheaper and quicker means of addressing
issues; and may often result in a closer relationship between industry and its clients.




6 EXTERNAL
The limitations of the model are that all those involved may not operate within the self-
regulatory rules and that there is a danger of self interest being put ahead of
employee or public interest. Additionally, self regulation can result in lower levels of
compliance; there is no third party or independent auditing and it is not valued as
highly by stakeholders.

Answers were disappointing. Some candidates did not understand the concept of self
regulation while others were content to offer only an explanation of OHSAS 18001.









Section B three from five questions to be attempted

Question 7 An employer wishes to build a new gas compression installation to
provide energy for its manufacturing processes. An explosion in the
installation could affect the public and a nearby railway line. In view of
this the employer has been told that a qualitative risk assessment for the
new installation may not be adequate and that some aspects of the risk
require a quantitative risk assessment.

(a) Explain the terms qualitative risk assessment AND quantitative
risk assessment. (5)

(b) Identify the external sources of information and advice that the
employer could refer to when deciding whether the risk from the
new installation is acceptable. (5)

(c) A preliminary part of the risk assessment process is to be a
hazard and operability study. Describe the principles and
methodology of a hazard and operability (HAZOP) study. (10)


Qualitative risk assessment involves the use of broad categories to arrive at a broad
measure of risk. Following a comprehensive identification of hazards, broad categories
are used to classify the likelihood of the hazards being realised and the severity of
their consequences. The categories may be descriptors or numbers. Most everyday
risk assessment is qualitative and such assessments tend to be subjective.

Quantitative risk assessment on the other hand is a numerical representation of the
actual frequency and/or probability of an event and its consequences. It often involves
comparison with specific criteria and is objective.

In identifying external sources of information and advice for part (b), candidates could
have referred to the acceptability or tolerability criteria for risk for example as set down
in the Prevention of Major Industrial Hazards; guidance from the enforcing authority
which identifies hazards and sets risk control standards to meet legal and good
practice requirements; statistics and guidance from other authoritative sources such
as professional bodies, trade associations and insurers; instructions from the plant
manufacturers and guidance from other organisations with similar installations.







7 EXTERNAL
Part (c) sought to test candidates understanding of HAZOP studies. The purpose of a
HAZOP is to identify deviations from intended normal operation and is best used at the
design stage or when modifications are proposed for an existing installation. They
were expected to explain the need for a team approach with specialists from relevant
disciplines, a team leader and the need to define the scope of the study, breaking
down the process into elements, collecting data and information to support the study
and adopting a brainstorming approach. Candidates should also have described that
deviations are prompted by the use of guide words which are applied to relevant
process parameters such as temperature or flow, and marks were available for giving
examples with application to process variables such as no (negation of the design
intent), more (quantitative increase), as well as (qualitative increase) and other
than (complete substitution). Better answers added that the study examines the
possible causes and consequences of each deviation, identifies possible corrective
actions and is documented and recorded.

This was a popular question and answers were generally to a reasonable standard
though many candidates did have difficulty in identifying external sources of
information and advice for part (b).



Question 8 (a) Organisations are said to have both formal and informal
structures and groups. Outline the difference between formal
AND informal in this context. (6)

(b) Internationally recognised health and safety management
models, including OHSAS 18001 and HSG65, include an
organising element which requires control, co-operation,
communication and competence. Outline, using practical
examples, what co-operation means in this context. (6)

(c) Organisational change can, if not properly managed, promote a
negative health and safety culture. Outline the reasons for this. (8)


A formal structure or group is hierarchical, generally shown in an organisational chart
and characterised by defined responsibilities and agreed reporting lines, while an
informal structure is characterised by social and personal relationships, habitual and
related contacts and the presence of strong characters with personality and
communication skills that may exert personal influence.

In outlining the meaning of co-operation for part (b) of the question, candidates
should have referred to formal consultation arrangements such as those with safety
representatives, direct consultation with employees at team meetings and participation
in safety committee meetings and also to informal consultation on safety issues during
day to day discussions with employees. Co-operation would also include the
involvement of employees in safety processes such as carrying out risk 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; and 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 employees in health and safety
matters.








8 EXTERNAL
Organisational change can, if not properly managed, promote a negative health and
safety culture for a number of reasons such as: the profile of safety may not be
maintained during the change and new job responsibilities may not have fully covered
safety issues; 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 cooperation 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; and last but not least the effects of natural resistance
to change.

Not many candidates attempted this question and answers that were submitted were
not to a good standard. There seemed to be little understanding either of the concept
of formal and informal structures or of the term co-operation.



Question 9 As part of its health and safety management system an organisation
monitors its health and safety performance.

(a) Excluding safety tours, outline FOUR active monitoring
techniques. (4)

(b) Outline FOUR reactive monitoring techniques. (4)

(c) Explain the benefits of:

(i) active monitoring; (6)

(ii) reactive monitoring. (6)


In answering part (a), candidates could have outlined active monitoring techniques
such as physical inspections of the workplace to identify hazards and unsafe
conditions; safety audits where the systematic critical examination of all aspects of an
organisations health and safety performance against stated objectives is carried out;
safety sampling of a specific area or particular items of plant with repeat sampling to
observe trends; safety surveys involving in depth examinations of specific issues or
procedures such as changes in working practices; environmental monitoring and/or
health surveillance; safety climate measures such as the use of employee
questionnaires; behavioural observation and measuring health and safety
performance against set targets and benchmarking where performance in certain
areas is compared with that of other organisations with similar processes and risks.

For (b), reactive monitoring techniques would include accident investigation to
determine root causes and reasons for substandard performance; ill-health reports
which provide information about work-related conditions and issues that affect health;
near miss and dangerous occurrence reports which provide details of events that point
to root causes common to accidents and point to failures in control measures;
enforcement action which relate to specific breaches of the law and the need for
improvements in health and safety; the number of civil claims again pointing to areas
where improvement is necessary; the analysis and comparison of costs associated
with accidents and employee complaints which provide an indication of workplace
health and safety shortcomings that give concern.
9 EXTERNAL

In answering part (c), candidates could have explained that the benefits of active
monitoring are that it is not reliant on the reporting of hazards and gives a picture of
current performance; it identifies hazards before the event and allows corrective
measures to be implemented thus reducing loss; it allows measurement of compliance
and non-compliance; it identifies reasons for non-adherence to procedures; it enables
more effective decision making and finally enables employee involvement and
communication. As for reactive monitoring, its benefits are that it measures historic
performance; it relies on accurate reporting; it identifies the consequences of hazards
and importantly the causes of failure; it identifies legal compliance and non-
compliance; it demonstrates commitment and improves morale; it allows data to be
used to compare trends over time; and provides an opportunity to learn.

This was a very popular question and most candidates who answered it did well.



Question 10 (a) In relation to the improvement of health and safety within
companies, describe what is meant by:

(i) corporate probation; (2)

(ii) adverse publicity orders; (2)

(iii) punitive damages. (3)

(b) Outline a mechanism by which the International Labour
Organisation can influence health and safety standards in
different countries. (7)

(c) Explain the role of legislation in improving workplace health and
safety. (6)


In answering part (a) of the question, candidates could have described corporate
probation as a supervision order imposed by a court on a company that has
committed a criminal offence. When applied to a health and safety offence, the order
might require the company to review its safety policy or its health and safety
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
organisations culture under the supervision of the court.

The intention of an adverse publicity order would be to publicise the failings of an
organisation and seek to change its conduct through public perception. It requires the
company to make a public statement and to change its approach to the management
of health and safety.

Punitive damages, is a financial or monetary award which, whilst paid to a claimant,
is not awarded to compensate them, but in order to reform or deter the defendant and
similar persons from pursuing a course of action such as that which damaged the
claimant. As such they are both a punishment and a deterrent. The amount of the
award is determined by a court and is not linked to the losses suffered by the
claimant.









10 EXTERNAL
In answering part (b) on the mechanisms by which the International Labour
Organisation (ILO) can influence health and safety standards in different countries,
candidates were expected to refer to matters such as the development of international
labour standards through conventions supplemented by recommendations containing
additional or more detailed provisions; the ratification of the conventions by member
states which commits them to apply the terms of 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.

For (c), legislation has a role in improving workplace health and safety by setting
minimum standards which are enforced by a regulator and allowing for punishment of
the offender if compliance with the standards is not achieved. It is updated by national
or federal government when required, applies to all workplaces thus creating a level
playing field and may be prescriptive or goal setting, the latter often supported with
interpretation in the form of approved codes of practice or guidance.

Candidates provided good answers for parts (a) and (b) however, when an
explanation was required in the last part of the question, they did not do as well.



Question 11 Explain the benefits of:

(a) an integrated health and safety, environmental, and quality
management system; (10)

(b) separate health and safety, environmental, and quality
management systems. (10)


The arguments for and against the use of an integrated management system for
safety, quality and environmental issues will need to be considered by many
practitioners at some stage during their careers. The question invited candidates to
outline their understanding of the key benefits of both an integrated and separate
systems.

The benefits of an integrated management system could have included: consistency
of format and a lower overall cost through the avoidance of duplication in procedural,
record-keeping, compliance auditing and software areas; avoiding narrow decision
making that solves a problem in one area but creates a problem in another;
encouraging priorities and resource utilisation that reflect the overall needs of the
organisation rather than an individual discipline; applying the benefits from good
initiatives in one area to other areas; encouraging closer working and equal influence
amongst specialists; encouraging the spread of a positive culture across all three
disciplines; and providing scope for the integration of other risk areas such as security
or product safety.

Benefits from retaining separate systems could have included: 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 therefore, the need for
a more complex system in one element may not be mirrored by a similar need in the
other two elements); separate systems might be clearer for external stakeholders or
regulators to understand and work with; and finally they may encourage a more
detailed and focused approach to auditing and standards.

A generally acceptable standard of response from those candidates who attempted
this question though some did become a little confused between the two systems.
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