EL 1

Q. Health and safety management includes moral, legal and economic (financial) reasoning.
(a) Explain the meaning of ‘moral’ in this context.
(b) Outline positive effects of a moral-based approach to health and safety management.

Despite the question being specific to the moral reasons there were candidates who sought to offer
legal and financial motivators for managing health and safety. To gain good marks in part (a) candidates
could have offered an understanding of moral reasons such as managing health and safety being the
right thing to do, that employers have a duty of care to workers and society generally, as well as
preventing major industrial disasters.
Part (b) was looking for candidates to express the effects of the moral-based approach on the workers
and the workplace generally. Answers could have included improved worker morale through ownership,
improved worker commitment, worker self-esteem and value leading to a good culture which motivates
the workers. While there is no exhaustive list of consequences few candidates seemed to get the
connection of valuing workers and resultant outcomes.

Q. Outline reasons for introducing health and safety management systems.

Overall this question was not well answered. Many candidates structured their answer around the
moral, legal and financial reasons for managing health and safety. While some marks were awarded,
few candidates were able to offer the outline required to achieve good marks.
Better answers would have included points such as supporting continual business improvement,
ensuring that health and safety is given the same importance as other business objectives, or alignment
with other management systems.
Candidates need to be able to demonstrate a depth of understanding of management systems in
organisations rather than memorising a specific list related to moral, legal and financial reasons for
managing health and safety.

Q. Outline the benefits of: (a) an integrated health and safety, environmental, and quality management
system;
(b) separate health and safety, environmental, and quality management systems.

In part (a) candidates could have gained marks by referring to benefits such as consistency of terminology,
avoiding procedural duplication as well as in costs of auditing. Additional benefits of integration could have
included avoidance of narrow decision making, improved management decision making, effective use of
resources and developments in the various areas having knock-on benefits.
In part (b) candidates could have referred to benefits under a separate regime such as different systems operate to
different standards and therefore should not be treated the same but allowed to develop and reflect the complexity
of each of the individual subject areas. Other areas of benefit relate to the technical accuracy required for both
management of the systems and auditing the systems. Finally, failure in one system or deteriorating system does
not necessarily affect the other systems, although lessons can be learned.
This question proved popular with candidates and many of those who opted to answer it performed well.

Q. For a range of societal factors, outline how they might influence health and safety standards and
priorities.

Study at Diploma level demands that successful candidates have a deep understanding of the subject matter and
are able to reason related areas of knowledge, as well as recall and apply knowledge.
Examiners were looking for candidates to offer influences, classed as societal and provide evidence of knowledge
that they were aware of how they influence standards of health and safety. The syllabus specifically makes
reference to societal factors as being economic climate, government policy and initiatives, industry or business
risk profile, globalisation of business, migrant workers and levels of sickness and incapacity. Candidates who
recognised this connection and offered how such factors could influence health and safety standards gained good
marks.

Q. ILO-OSH 2001 gives guidelines on occupational safety and health management systems.
(a) Outline requirements for a health and safety policy. (5)
(b) Outline key objectives of a health and safety policy. (5)
This question assessed the learning outcomes specified in Elements 1.3 and 1.4 of the syllabus: Explain the
principles and content of effective health and safety, quality, environmental and integrated management systems
with reference to recognised models and standards; Outline the role and responsibilities of the health and safety
practitioner.

The ILO-OSH Guidelines in Section 3.1.1 state that:

The employer, in consultation with workers and their representatives, should set out in writing an OSH policy,
which should be:

(a) specific to the organization and appropriate to its size and the nature of its activities;
(b) concise, clearly written, dated and made effective by the signature or endorsement of the employer
or the most senior accountable person in the organization;
(c) communicated and readily accessible to all persons at their place of work;
(d) reviewed for continuing suitability; and
(e) made available to relevant external interested parties, as appropriate.

Marks were available in part (a) to candidates who were able to get across any of these elements of the
requirements, that are common to most management systems in relation to the health and safety policy. It was
expected that the generic nature of the requirements would yield reasonable marks for candidates that understood
the need for a health and safety policy.

The ILO-OSH Guidelines go on to set out the main objectives of the health and safety policy as being:
(a) protecting the safety and health of all members of the organization by preventing work-related injuries, ill
health, diseases and incidents;
(b) complying with relevant OSH national laws and regulations, voluntary programmes, collective agreements on
OSH and other requirements to which the organization subscribes;
(c) ensuring that workers and their representatives are consulted and encouraged to participate actively in all
elements of the OSH management system; and
(d) continually improving the performance of the OSH management system.
Again marks were available for candidates that could capture these areas in the context of the health and policy.
In many instances in both Parts (a) and (b) there were examples of candidates providing a list of ideas, that while
hitting the right subject areas in some cases, does not answer the question that requires an outline.

El 2
Q. Outline the rights and responsibilities of worker representatives as set out in the International Labour
Organisation Convention No.155 and Recommendation 164.

The learning outcome of Element 6.4 is: Explain the role, influences on and procedures for formal and informal
consultation with workers in the workplace. This question set out to assess candidates’ knowledge in this area
with specific reference to the ILO Convention and Recommendation. As with Question 3 on the examination, the
documents are referenced as being key areas of knowledge although their mention in the question seemed to put
off many candidates. Article 19 of Convention 155 and Paragraph 12(2)(a)-(j) of Recommendation 164 sets out
the rights and responsibilities of worker representatives. In many cases the rights and responsibilities are generic
in nature and do not fall far from what would reasonably be expected within the workplace. Examples include:
 be given adequate information on safety and health matters, enabled to examine factors affecting safety
and health, and encouraged to propose measures on the subject;
 be consulted when major new safety and health measures are envisaged and before they are carried out,
and seek to obtain the support of the workers for such measures;
 be consulted in planning alterations of work processes, work content or organisation of work, which may
have safety or health implications for the workers;
 be given protection from dismissal and other measures prejudicial to them while exercising their
functions in the field of occupational safety and health as workers' representatives or as members of
safety and health committees;
 be able to contribute to the decision-making process at the level of the undertaking regarding matters of
safety and health;
 have access to all parts of the workplace and be able to communicate with the workers on safety and
health matters during working hours at the workplace;
 be free to contact labour inspectors.
In order gain good marks candidates were expected to offer the technical content in the context of the worker
representative by way of an outline . All too often candidates seemed to be under the impression that all they were
required to do was provide a list of keywords to earn the marks. This is not the case this level of qualification.
Candidates are required to demonstrate a systematic understanding of their field of study and the key aspects from
within it. This cannot be done by providing lists, or by requiring the Examiner to assume knowledge as it is not
effectively presented in the answers.

Q. (a) Give the meaning of the term ‘contract’. (1)

(b) Outline elements required for a contract to be legally enforceable. (4)
(c) Outline factors that make a contract potentially unenforceable. (3)
(d) Outline actions taken by the contracted parties that make a contract completed. (2)

This question assessed candidates’ knowledge and understanding of the some of the main principles of contract
law. The question was broken down into four areas and it was expected that candidates would be able to structure
their responses. While legal provisions vary in different countries around the world the key principles associated
with contracts tend to remain the same. The principles of contract arrangements apply where parties make a legally
binding agreement. In order for the contract to be enforceable the parties need to agree the offer and acceptance
of the service with the passing of consideration (something of value) between them.

Therefore, to be potentially unenforceable, rules such as coercion or lack of capacity may have been broken.
Finally, when all parties have fulfilled their obligations the contract can be said to have been completed, or when
the parties agree to release the other of any obligations. Once again examination technique seems to play a large
part in candidates’ performance in these questions. Those candidates who had a knowledge of contract working
in their organisations tended to launch into client contractor relations which was not the point of the question.

Q. (a) In relation to the improvement of health and safety in organisations, describe what is meant by:
(i) corporate probation;
(ii) adverse publicity orders;
(iii) punitive damages.
(b) Outline the mechanism by which the International Labour Organisation (ILO) can influence health
and safety standards in different countries.
(c) Describe what is meant by the term ‘self-regulation’.

Part (a) of the question required little more than a basic understanding by the candidate of corporate probation,
adverse publicity orders and punitive damages and those that knew these terms fared well. It was clear however
that there were candidates who, it seemed, were unaware of the terms but had a guess at what they might mean.

Examiners were looking for candidates to make the following points:

Corporate probation: this is an order imposed by a court as a result of the organisation committing an offence.
The order would usually require the organisation to carry out specific acts through the board of directors.

Adverse publicity orders: requires the offender to publicise the fact that they have committed an offence and
have subsequently been convicted. The order would usually require the offender to provide details of the offence
and actions taken, so seeking to name and shame the offender.

Punitive damages: a financial award in excess of compensatory damages intended to punish the offender for,
usually malicious, wrong doing and act as a deterrent to others.

Part (b) of the question related to the influence of the International Labour Organisation (ILO) on health and safety
standards. The ILO exerts influence in a number of ways including; creating International Labour Standards
through Conventions and Recommendations. Conventions can be ratified by member countries which binds them
to the requirements of the convention. The recommendations are used to provide further detail around the
requirements for countries to utilise. They are usually aimed at both member country and organisational level
giving guidance on improving standards. The ILO will also develop and lead international initiatives supported
by NGO’s such as the Decent Work Agenda as well as lobbying governments to improve standards. Where
conventions are ratified by member countries the ILO may monitor the application of the standards and provide
technical assistance where necessary to help implement the spirit of the standards.
In part (c) Examiners were expecting a description of the concept of self-regulation that could have included
points around the following: Self-regulation is the term used to describe an organisation’s voluntary sign up to
a code of conduct or activity. This is often driven by membership of a trade group or other affiliation where the
parties are bound by a mutually set of agreed rules set out in a code of conduct or practice. Acceptance of the rules
is by voluntary agreement. There would usually be a method also agreed for the resolution of disputes in relation
to the code of conduct. Compliance with the code is usually evidenced by independent third-party monitoring.
The threat of removal from the trade group by removing certification or accreditation of compliance is often used
as a form of sanction for non-compliance, eg certification to OHSAS 18001 standard for health and safety
management.

Voluntary codes are a key driver in many countries to improve standards and include certification to standards
such as OHSAS 18001 for health and safety management, ISO 14001 for environmental management and ISO
9001 for quality management. For many organisations it is the voluntary acceptance of such codes, ie self-
regulation that drives market value, customer acceptance and requirements for contracting. Such codes may be
present alongside a legislative framework requiring compliance as well as where the legislative framework and
enforcement is absent.

Q. (a) Distinguish between prescriptive legislation and goal-setting legislation. (2)

(b) Outline TWO benefits AND TWO limitations of:
(i) prescriptive legislation; (4)
(ii) goal-setting legislation. (4)

This question covers learning outcome 8.1: Describe comparative governmental and socio-legal, regulatory and
corporate models . Since the International qualification does not focus on a single country’s legal system a broad
understanding of standards, principles in relation to laws and legal systems is a crucial part of the International
Diploma syllabus. For the most part candidates were able to make the distinction between prescriptive legislation
and goal setting legislation by stating that prescriptive laws set specific standards to be complied with and
goal setting laws set a goal or target to be achieved. In the second part of the question candidates either wrote a
good, clear account of benefits and limitations that gained good marks or they demonstrated a lack of
understanding of the terms beyond that required in part (a).

In order to gain good marks Examiners were looking for candidates to offer two limitations and two benefits for
each. A difficulty encountered by the Examiners with answers to this question was the fact that many candidates
provided only a limited response whereas an outline was required by the question, eg a benefit of prescriptive
legislation may be: that it does not require detailed interpretation by experts and that it is easy to enforce since the
requirements are set out in the law and it is therefore clear what has to be done to comply. There were numerous
examples of candidates answering the question by saying: easy to enforce, does not require a high level of
expertise. While both these points are relevant they do not answer the question and are therefore not mark worthy.

Q. Distinguish between:
(a) common law and statute law;
(b) civil law and criminal law.

A safety practitioner needs to be able to distinguish between legal principles and how they are
preserved. Candidates who did well presented answers by logically distinguishing between common
and statute law, and then how these are acted out as civil rights and criminal duties. Other candidates
gained marks by outlining key features of the different types of law. However, some candidates also
included content that indicated they did not fully understand the legal system.
In part (a) many candidates were able to distinguish between legal precedent, judge-made law and law
that is drawn up by parliament, consisting of acts. However, most candidates stopped at this point and
did not expand further.
Candidates achieved most marks for part (b), demonstrating a good understanding of the difference
between civil and criminal law. The majority of candidates detailed which courts related to which law
and the difference between balance of probabilities and beyond reasonable doubt. Few candidates
were able to go further and recognise the availability or otherwise of insurance.

Q. (a) Outline the role of health and safety legislation in the workplace.
(b) Outline the limitations of health and safety legislation in the workplace.
This part of the syllabus does not relate to an individual country’s laws so a more general understanding of the
principles of legal standards, how they work and their limitations, is required. Therefore this type of question
should be within the expectation of candidates and course providers alike.

In part (a) several candidates spoke in specific terms about what a piece of legislation may cover, eg for training,
maintenance, emergency procedures, PPE, etc instead of the role of health and safety legislation in the workplace.
Candidates could have also outlined that it provided for government enforcement and for a civil route to
compensation as well as setting out minimum standards for health and safety.

In part (b) candidates were expected to outline limitations such as legislation quickly becoming outdated,
inadequate enforcement and variable interpretation of goal setting legislation among other things. While there
were candidates who recognised the limitations of prescriptive and goal setting legislation few were able to outline
any more depth in their answers. Again many candidates seemed to refer back individual laws in countries rather
than a more overall view of legislation generally.

Q. A large organisation that operates in different countries around the world uses a self-regulatory model
for its health and safety management system.
(a) Outline the benefits of a self-regulatory model. (6)
(b) Outline the limitations of a self-regulatory model. (4)

Most candidates who gained marks for this question provided answers that gained mid-range marks; high marks
were very rare. There did not appear to be any particular misunderstanding that led to limited answers other than
a lack of knowledge. Some candidates did not appear to understand the idea of self-regulation and addressed
legislation in large parts of their answers. Similarly, there were candidates who had a good grasp of the concept
of self regulation, perhaps due to first-hand experience and these candidates mentioned benefits such as it ensures
consistency across different sites, often in different countries, can adopt best practices above the legal minimum
standard, industry harmonised standards, among others. Conversely in part (b), limitations including: lack of fit
for local circumstances, may cause or allow lower levels of compliance, may not be valued by some stakeholders,
were all worthy of good marks

Q. (a) Outline what is meant by punitive damages in relation to a compensation award, clearly stating their
purpose AND identify to whom the damages are paid.
(b) In relation to a claim for compensation, outline the meaning of the terms:
(i) no fault liability; (2)
(ii) breach of duty of care. (3)

In order to gain good marks in part (a) candidates were expected to make the point that punitive
damages are a monetary award that represents financial punishment for wrong doing. The level is set
by the court and is paid to the claimant not the state. Part (b) required a simple factual outline of the
terms ‘ no fault liability’ and ‘ breach of duty of care’ . Most candidates seemed well versed with the
terms.

Q. Organisations are subjected to many influences in health and safety. Identify influential
parties AND outline how they can affect health and safety performance in an organisation.

Generally candidates’ responses to this question were good, demonstrating an understanding of the
influential parties and the way they affect health and safety in organisations. However, there were also
answers that were unable to provide a suitable outline of how the influential parties were able to affect
health and safety in organisations.
Better answers would have included points such as trade associations setting performance standards,
pressure groups leading influential publicity campaigns and enforcement agencies checking on
compliance with standards. There are also many other influential parties that would gain marks,
provided they were appropriately outlined.

Q. (a) Distinguish between prescriptive legislation and goal-setting legislation.

(b) Outline TWO benefits and TWO limitations of prescriptive legislation.
(c) Outline TWO benefits and TWO limitations of goal-setting legislation.

The key distinguishing characteristic of prescriptive and goal setting legislation is based on the fact that
prescriptive legislation describes the minimum standards, whereas goal setting legislation describes
the desired outcome rather than the method of achieving the outcomes. The benefits and limitations of
each are related to, among other things, the level of expertise required to interpret the requirements
and whether compliance has actually been achieved, as well as the relevance of the legislation over
time.

There were some good answers to the question which showed a good understanding of the subject
and other responses that suggested that some candidates had never heard the terms prescriptive and
goal setting in this context before.

Given the international nature of the course, candidates should be well prepared on legal principles and
systems.

Q. (a) Outline the purpose of International Labour Organisation (ILO) Codes of Practice.
(b) Outline how International labour standards are created at the International Labour
Conference.
(c) Outline how the ILO can influence health and safety standards in different countries.
(d) Outline how the media can influence attitudes towards health and safety.

Codes of Practice in supporting the ILO conventions.

Part (b) required candidates to offer the process of standard creation at the International Labour
Conference. Marks were available for elements of the process such as amendments proposed and
voting qualified by a 2/3 majority.
Part (c) then required candidates to recognise how the ILO can use the standards among other things
to influence health and safety in different countries. Marks were available for the ILO role in monitoring
implementation of standards, dealing with complaints, and providing technical assistance, for example.
Part (d) required candidates to provide an outline of how the media (news, television, printed, online,
etc) can influence attitudes towards health and safety. Nowadays there is instantaneous global
coverage of events through online reporting and social media as well as traditionally broadcast and
paper news, which provides information to readers and observers and therefore can influence
perception and attitudes. Also there are concepts such as state media control that can affect individual
and group views of events and situations.

A good answer to this question required a good understanding of influential organisations and social
development worldwide.

El 3

Q. Explain the domino and multi-causality theories of accident causation, including their respective uses
and possible limitations in accident investigation and prevention.

There appeared to be a distinct lack of knowledge around accident theory. There were several examples of
candidates who only drew a line of dominoes with no further explanation, while there were also those candidates
who did not attempt the question at all.
As always there were candidates who were well prepared and knowledgeable in the theory of accident causation
and investigation and this question provided good marks for them.
The candidates who were well prepared successfully referenced Heinrich and/or Bird and Loftus with each
element clearly illustrated. Distinguishing between domino and multi causality theories was an important element
to the answer to this question and many candidates gained marks for recognising that accidents often have multiple
causes and require in-depth investigation in line with the multi causality theory of causation. Subsequently they
were able to then link that this is a more complex model and requires more resources.
Limitations in relation to the domino theory of accident causation and subsequent investigation could have
included points such as being limited to single cause linear analysis and therefore can over simplify causation.

Q. The consequences of human failure can be immediate or delayed.

(a) Explain the differences between active failures and latent failures. (6)
(b) (i) Give examples of an active failure. (2)
(ii) Give examples of a latent failure. (2)

As referenced in the stem of the question, immediate and delayed consequences would have been a
good starting point for candidates. Examiners were expecting answers that explained the differences
rather than repeated the question. The fact that active failures tend to involve front line staff and are
therefore often operational in nature and that latent failures are usually system failures and often involve
designers was not well known by many candidates. The terms are well used and described in several
accident causation models so Examiners were expecting reasonable responses to this question.
As there was a lack of clear understanding by many candidates of the terms in part (a), part (b) proved
to be a little problematic with many candidates not providing clear examples. The number of marks
available should have directed candidates to the number of examples that were expected.
Q. Outline how good quality information can be obtained when interviewing a witness to a workplace
accident.

A core aspect of the health and safety practitioner’s role, interviewing witnesses is a key skill that, in theory,
should be common knowledge to students of health and safety and practising professionals. Examiners were
expecting an outline of points such as the timing of the interview, the environment, competence of the interviewer,
establishing rapport using appropriate language and questioning techniques such as open and closed questions to
establish facts and not apportion blame being just some of the mark worthy areas. Overall the response to the
question was good with many candidates gaining good marks. However, as with previous questions and a common
theme throughout this examination, candidates did offer appropriate subject areas but without the necessary
outline and therefore marks were limited in an area where there was clearly knowledge that could have attracted
better marks.

Q. A forklift truck is used to move loaded pallets in a large distribution warehouse. On one
particular occasion the truck skidded on a patch of oil. As a consequence, the truck collided
with an unaccompanied visitor and crushed the visitor’s leg.
(a) Outline why the accident should be investigated.
(b) The initial responses of reporting and securing the scene of the accident have been carried
out.
Outline actions that should be taken in order to collect evidence for an investigation of the
accident.
(c) The investigation reveals that there have been previous skidding incidents that had not been
reported and the organisation therefore decides to introduce a formal system for reporting near
miss incidents.
Outline factors that should be considered when developing and implementing such a system.

Part (a) was looking for reasons why the accident should be investigated. Most of the candidates who
chose to answer this question gained good marks; citing reasons such as identification of causes (direct
and underlying), prevention of a recurrence, etc. However, those candidates who did not gain good
marks tended to list the reasons rather than provide an outline as required in the question.

In part (b) candidates needed to provide outlines of specific actions to be taken including reviewing
CCTV footage, interviewing appropriate persons, examining the forklift truck for defects, etc. Again,
most candidates were able to provide a good response to the question and showed they had experience
of accident investigation and data gathering tools.

Candidates who had difficulty in part (b) tended to repeat similar actions under different guises, eg
examine photographs, examine sketches or measure parts of the scene, or gave a list rather than
outline the actions to be taken.

Part (c) seemed to offer the biggest challenge to candidates in this question since it focused on the
system rather than the activity of accident investigation. Candidates were expected to take the broader
managerial view of the development and implementation of the system required. Marks were available
for factors such as consultation with workers, no blame culture, clear reporting lines, etc. Those
candidates who were able to move from the process to the system (and there were many) gained good
marks.
Accident theory and investigation is a core part of the health and safety practitioner role, as is the
process of system development and implementation. Candidates should be prepared to tackle this type
of managerial question at this level.

EL 4

Q. (a) Outline the purpose of health and safety management auditing.

(b) Describe factors that should be considered when planning an audit programme.
You do not need to consider specific factors to be audited.
(c) Outline how senior managers can assist in the auditing process.

In part (a) few candidates stated that the purpose of the audit was to obtain independent or objective
evidence of good health and safety management. Many gained a couple of marks for outlining purposes
such as identifying strengths and weaknesses and evaluating performance against requirements.
Limited responses included checking that everything was okay and did not achieve marks.
Part (b) was answered reasonably well with stronger responses achieving more than half marks.
Candidates described that when planning an audit, factors that need to be consisted include senior
management commitment, logistics, resources, consideration of standards, a scoring system and
training of audit personnel.
Few candidates developed their answers further to include wider issues such as communications on
the purpose and implications of the audit process and considerations around the independence of
auditors.
Some candidates confused audits with inspections and this confusion compromised answers, leading
to low marks.
In part (c) most candidates were able to outline that senior managers should participate in the audit and
ensure that resources are available. They also stated that senior managers should ensure that the
action plans following the audit are implemented. Very few candidates outlined the need to request an
action plan or appoint a competent auditing team.

Q.Outline how safety tours could contribute to improving health and safety performance in an
organisation.
(b) Outline how safety tours could contribute to improving health and safety culture in an organisation.
Discussion of the specific health and safety requirements, problems or standards that such tours may
address, is not required.

Monitoring and measuring is a key part of the role of the health and safety practitioner and therefore a detailed
understanding of the methods and influences of the processes is essential knowledge

The key to gaining good marks in this and many other questions at this level is to be able to link the actions with
the outcomes. Where candidates had difficulty they tended to talk about tours and what to look for, but not link
to how the tour would improve health and safety performance. Consequently, there were candidates who stopped
short in their answers because they did not link it to performance. So while candidates mentioned that tours would
involve discussions with workers (for example) they did not say how this improved the culture – they simply said
that it did.

In part (b) most candidates outlined commitment, remedial actions, communication, unsafe behaviour and
involvement of workers, and answers were marginally better than part (a). However, the general standard and
construction of answers was limited. Generally, marks were awarded in part (a) for the identification of
compliance or noncompliance with performance standards; talking to workers during the tour; and tours
influencing behaviour. For part (b) most candidates gained a mark for reference to management showing
commitment, taking remedial actions, communication, and removal of unsafe behaviour and also involvement of
workers in tours improving ownership.

Answers to part (a) of this question highlighted the pitfalls of failing to read the question thoroughly before
attempting an answer. Despite the advice given by the addendum to the question, several candidates gave details
of what the tour should be looking for (hazards, risks, housekeeping standards, welfare facilities), others
concentrated on the benefits of carrying out a tour, and a few more on tours as an active monitoring tool.
There were also some candidates who perceived little difference between parts (a) and (b) of the question and
duplicated their answers. Influencing performance and influencing culture are tools for the health and safety
practitioner to use and this question sought to give candidates the opportunity to demonstrate how they might
achieve this.

Q. The health and safety adviser to a large organisation has decided to introduce an in-house
auditing programme to assess the effectiveness of the organisation’s health and safety
management arrangements.Outline issues that should be considered when developing the
audit programme.

This question sought to assess candidates’ knowledge of the preparatory work required in order to set
up an audit system that would provide useful information about the organisational health and safety
management arrangements. In answering the questions candidates would have been well advised to
spend a few minutes preparing their answer to ensure that they gave good coverage to a wide range
of issues in order to gain good marks. In order to develop the programme the practitioners would need
to consider issues such as gaining management support and company-wide support for the audit. The
next stage of developing the audit would be to consider and plan the scope and nature of the audit,
considering likely frequency of audits and what comparative standards could be used in the audit
process. Consideration of specific audit content should be addressed, taking into account such details
as auditing techniques to be used (interviews and provision of feedback and follow up actions), scoring
system, use of software, vertical and horizontal slice, etc. Candidates needed to consider the audit team
in terms of competency and independence; planning for a pilot, review and launch including how to
communicate the findings; as well as setting future targets

Q. In relation to health and safety monitoring systems, explain the differences between:
(a) active and reactive performance measures;
(b) qualitative and quantitative performance measures.

Good answers to this question explained the differences between active and reactive measures in part (a) and
provided an explanation of the differences between qualitative and quantitative measures in part (b). The key in
this question is the command word ‘ explain’ which provides the candidates with a guide as to the depth of content
required in order to achieve good marks. In part (a) an explanation of forward looking measures of system strength
prior to accidents and incidents, and measurements of system failures or weaknesses following an unwanted event
would have gained good marks.

In part (b) a similar explanation of qualitative and quantitative measures relating to subjective comparisons as
opposed to precise data measurements would have gained good marks. Overall, there was a range of responses,
but candidates were seemingly better at explaining active than reactive. In part (b) of the question there were a
significant number of answers where candidates gave what would have been good explanations of qualitative and
quantitative measures, but candidates confused the titles. These were fair explanations but the wrong category
negated any mark-worthy points.

(Q. a) Explain the objectives of:

(i) active health and safety monitoring; (5)
(ii) reactive health and safety monitoring. (4)
(b) Outline a range of active health and safety monitoring methods. (5)
(c) Outline examples of reactive performance data that could be used to benchmark health and
safety performance. (6)

In part (a) there were several factors that overlap both active and reactive monitoring, including setting
the basis of continual improvement and demonstrating commitment; while many candidates identified
these points, marks could only be awarded once.
It appears that the term objectives in the question may have created a more challenging focus for many
candidates as they offered similar answers in parts (a), (b) and (c).
In part (a) (i) points such as identify hazards and risks before the event and understand the performance
of existing risk control strategies would have gained marks. In part (a) (ii) better answers would have
included objectives such as historical measurement, identify cause and analyse data over time.
In part (b) candidates gained good marks by providing an outline of methods such as audits,
inspections, etc. The key to good marks was to ensure that an outline was provided and not simply a
list of methods, which was a common issue for several candidates attempting the question.
Part (c) referred to data that could be used to benchmark performance from reactive monitoring
activities and candidates who provided outlines of data such as accident and incident numbers,
enforcement activities associated with the organisation, and absence data tended to gain good marks.
As with part (b) the distinguishing feature between high and low marks being awarded was often the
presence of an outline as asked for in the question.

Answers to this question seemed to vary from very good answers that were well thought out and
comprehensive to those candidates who were confused between the differences between active and
reactive monitoring. Additionally, as with other answers on this examination sitting there were examples
where candidates appeared to have a broad understanding of the subject however lacked either the
knowledge or the technique to construct answers that were required by the action verbs explain and
outline.
In part (a) of the question, Examiners were expecting candidates to provide an explanation of the
objectives of both active and reactive monitoring. Candidates that explained that the objectives of active
monitoring was to provide a view of current performance in relation to health and safety, provide
information about and evidence of performance in practice and to identify hazards and risks before any
loss events occur and therefore prevent an occurrence gained high marks.

In relation to reactive monitoring candidates were expected to explain that reactive monitoring uses
tools to measure historic performance and identify the consequence of hazards in the workplace as
well as identifying the causes of failure. Additionally reactive performance can be used to gather data
over time and therefore be used to compare performance over time by analysing trends and
benchmarking performance against other standards.
There are of course large areas of overlap between active and reactive monitoring in terms of the
objectives and Examiners were able to award marks for these areas of overlap if they were covered in
either area of explanation. In particular, areas of overlap which were worthy of marks included: providing
a basis for continual improvement and measuring legal compliance. Also both monitoring techniques
can be used to demonstrate organisational commitment to improving health and safety standards and
consequently improving morale within the workforce.

In part (b) of the question candidates were again expected to provide an outline of active monitoring
methods and could have referred to methods such as; auditing, inspections, sampling, health
surveillance etc. Ofcourse in order to gain the marks an outline was required rather than a list, which
seemed to be the most common approach to the answer.

However, the outline must provide the context and meaning of the method in question. As an illustration
an answer that gives the following level of detail will not attract marks: Regular Audits: Auditing of health
and safety systems is very important in the performance of a good health and safety system.

Conversely an answer that provides the following level of detail would attract marks:
Audits: An independent examination of the management system against an agreed standard. Part (c)
of the question required candidates to give examples of reactive performance data that could be useful
for benchmarking. Whilst most candidates were able to mention accident and incident data fewer were
able to expand the examples to include such useful data as: Ill -health reports, employee complaints,
enforcement action or lost time through absences, etc.

Q. An organisation operating in the oil and gas sector employed 5 000 people in 2015. The
number of employees has reduced to 4 000 in 2016 and 3 000 in 2017. The table below shows
the accident history of the organisation over the past 3 years.

Year 2015 2016 2017

Number of 15 16 15
accidents
Number of 8 000 000 6 400 000 4 800 000
hours
worked
Days lost 75 85 100
due to
accidents
(a) Calculate the accident frequency rate for EACH of the years.
Show your calculations at EACH step.
(b) Comment on why the organisation should be concerned about the accident frequency rate.
(c) Human reliability can impact on accident rates.
Outline ways in which:
(i) organisational factors can contribute to improving human reliability;
(ii) job factors can contribute to improving human reliability.

Candidates should note that calculation questions require evidence at each stage of the calculations
being made. Those candidates who used the formula Accident Frequency Rate = (Number of Accidents
/ Number of hours worked) x 100000 in part (a) and showed their workings were awarded good marks.
There were several candidates who were unaware of the correct equation to use and therefore did not
gain good marks. Candidates were not penalised if they chose a different multiplier as long as they
were consistent.
In part (b) answers should have suggested that despite less hours being worked accident rates stayed
broadly the same and the number of days lost increased, suggesting more serious accidents.

In part (c) candidates were expected to use their knowledge to separate out organisational contributions
to human reliability and job factors that contribute to human reliability. For part (c) (i), organisational
factors, points such as positive safety culture, effective leadership, etc would have gained marks. For
job factors in (c) (ii), better answers would have included points such as work patterns and job rotation
as well as ergonomics of the job.
There were several examples of candidates providing individual factors as examples of contributions to
human reliability which was not asked for and did not gain marks.

Q. Explain the limitations of relying solely on accident numbers as a measure of health and
safety performance.

Monitoring health and safety performance requires the application of several measures that reflect both
active and reactive measures. Candidates should be able to explain the benefits and limitations of the
different types of measures that can be used in the workplace to measure and demonstrate health and
safety performance. Candidates were expected to ensure that they expressed to the Examiner why
relying solely on accident numbers limited the understanding of health and safety performance. To gain
good marks candidates could have referred to factors such as under reporting of accidents, few
accidents occurring in a low risk business would not necessarily indicate performance, accident
numbers do not account for factors such as ill health, near misses, severity or frequency. Without
knowing the reason for accidents, improvements in performance cannot be measured. It would also
infer an acceptance of accidents, as well as the data in relation to accidents occurring, being historical.

Q. Outline what should be considered when planning a health and safety inspection
programme.
Information on the specific workplace behaviours or conditions that might be covered in an inspection
is not required.

The question included a clear note stating that what may be inspected was not required. However,
many candidates still focused on this in their answers. Care in reading and re-reading the question and
instructions are required. There were several candidates who could not go beyond who carries out the
inspections, their competence, recording of findings and management commitment, thus limiting the
marks that could be awarded. The broader aspects of inspection planning such as recording methods,
etc were seldom referred to.
Planning monitoring activities is an important function of the health and safety practitioner and a
knowledge of planning and putting together the processes is required in order to get the most
appropriate and useful information to assist health and safety management.

El 5

Q. An organisation wants 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 organisation 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:
(i) qualitative risk assessment;
(ii) quantitative risk assessment.
(b) Identify external sources of information and advice that the organisation could refer to when
deciding whether the risk from the new installation is acceptable.
(c) A preliminary part of the risk assessment process is to be a hazard and operability (HAZOP) study.
Describe the principles and methodology of a HAZOP study.

In part (a) to gain good marks candidates needed to provide and explain the terms ‘qualitative’ and ‘quantitative’.
While many candidates who attempted the question gained reasonable marks in part (a) few candidates could get
their explanations beyond subjective descriptions and numerical data. Further marks were available for explaining
broad categories to classify likelihood and consequences for qualitative and actual numerical data representing
probability and consequences in relation to quantitative. This seems to suggest a disconnect between what is
expected as an answer and candidate perception of what constitutes a good high mark answer.

In part (b) the concept of acceptability and what documentation can support judgements of acceptability seemed
to be challenging. However, marks were awarded for reference to document sources such as enforcing agencies,
competent consultants, similar organisations, insurance codes of practice and guidance, etc.
Part (c) of the question focused candidates specifically on hazard and operability studies (HAZOPS), a tool widely
used in high risk sectors and process design and safety assessments. Marks were available for intention of
HAZOPS, team approach nature of the activity, use of guide words and how they are applied to parameters of
design and intent, etc. Those candidates familiar with HAZOPS gained good marks and used terms such
deviations, design intent, guide words, etc that helps to demonstrate the understanding of the process required by
the question.

Q. For a range of internal information sources:

(a) outline how EACH source contributes to risk assessment;
(b) outline the limitations of these information sources.

This question specifically assessed candidates’ knowledge of sources of information and their contribution to risk
assessment. Despite the question referring directly to internal information sources several candidates chose to
refer to sources that were external to the organisation. Additionally, although the question asked for how EACH
source contributes to risk assessment numerous candidates did not pick up on this and only provided an outline
of the information. In part (b) candidates were expected to outline limitations such as out of date or incomplete
information, although this part of the question was not well answered suggesting that the limitations of data were
not well.
Many of the errors seen in this question seem to point to a lack of understanding of the question as well as the
subject matter. Examination technique, which includes reading and re-reading the question thoroughly to
understand what the candidate is being asked is an essential skill for this and other examinations understood.

Q. (a) Outline the purpose of task analysis.

(b) Outline a method for carrying out task analysis.

This question produced a good mix of answers ranging from very good to very limited.
In part (a) many candidates were able to give good answers, with better answers also referring to the
identification for the potential for human error.

In part (b) there was a varied response to the method of task analysis including the 5 steps to risk
assessment and other risk assessment tools. Better answers could have included selection and
observation of the task, splitting or breaking the task down into respective components, taking into
account time lines of actions, producing a safe system of work, etc.

This detailed level of knowledge for specific tools to develop safe systems of work is extremely important
at this level of study. While the application of generic systems and general points are useful, preparation
for the examinations by candidates needs to include the detailed level of knowledge required here.
Q.
(a) Describe what is meant by ‘series system’ with reference to system reliability.
(b) Calculate the reliability of the system below.

Component Reliability
A 0.99
B 0.70
C 0.75
D 0.95
E 0.80

(c) Outline methods of improving system reliability.

A generally well answered question with a clear separation between those candidates who knew about
system reliability and those who did not.
In part (a) most candidates knew that a series system was a linked component system that would fail if
one component failed (dependent on each other) and gained both of the available marks.

Q. An office is protected with an automatic fire detection and alarm system. A number of false alarms
have been activated. A false alarm can be triggered by sunlight striking a UV flame detector, dust obscuring
a smoke detector or by a failure of the primary power supply. The primary power is normally supplied by
connection to the mains electricity. If this should fail, a back-up generator activates to supply the electricity.
The expected probabilities of the causes of the false alarms are shown below:

Cause of false alarm Probability

Sunlight striking a UV flame detector 0.25
Dust obscuring a smoke detector 0.1
Power failure 0.15
Back-up generator does not start 0.04

(a) Outline the principle of fault tree analysis. (2)

(b) Outline the technique of fault tree analysis. (8)
(c) Demonstrate the probability of a false alarm using a simple fault tree AND, using the data above,
calculate the probability of a false alarm. (6)
Show calculations to support your answers.
(d) (i) Identify the main cause of false alarms. (1)
(ii) Outline remedial actions that could minimise false alarms. (3)

Despite the marks on offer in this question it was not the most popular on the paper although many of those
candidates who attempted it gained reasonably marks. It is clear that there is a split between candidates, in that
many were able to complete the tree and calculations and there were those who seemed to get confused. Most
candidates were able to provide information that gained marks in part (a) such as FTA uses logic symbols to
demonstrate a causal relationship between events. In part (b), candidates were expected to develop the principles
into a technique and go through the process by outlining an identification of the top event, followed by subsequent
causes and construction of a tree using logic gates (and/or) to link events, quantitative/qualitative analysis and
application of control measures. It was evident that there was a limited understanding of the application although
in part (c) many candidates went on to develop and quantify the tree correctly. It is important that candidates are
able to convey the theory of the tools at their disposal as well as apply them in simple situations.

In part (d) candidates were expected to use the tree to identify that UV light was the most common cause of false
alarms and that there were several options that they could take to reduce the false alarms such as relocation or
protection of the detector. Risk assessment and risk assessment techniques are key to the management of health
and safety and candidates should be well prepared to describe the principles and application of a range of
techniques to both familiar and unfamiliar situations in this examination.

Q. (a) Outline the principles, application and limitations of event tree analysis as a risk assessment
technique. (6)
(b) A mainframe computer suite has a protective system to limit the effects of fire. The system comprises
a smoke detector connected by a power supply to a mechanism for releasing extinguishing gas.
It has been estimated that a fire will occur once every five years (f=0.2/year). Reliability data for the system
components are as follows:

Component Reliability

Detector 0.90

Power supply 0.99

Extinguishing gas release 0.95

mechanism
(i) Using the data above and in the form of an event tree, calculate the frequency of an uncontrolled fire
in thecomputer suite. (10)
(ii) Identify ways in which the reliability of the system could be improved. (4)

The application of advanced risk assessment methodologies is a useful tool for practitioners. It is therefore
important that students of health and safety understand the principles of operation as well as the ability to calculate
outcomes. In part (a) candidates could have gained marks by outlining that event tree analysis is based on binary
logic from a starting event and ends with the probability of a controlled situation or otherwise. It is used to assess
the likely outcomes and performance of mitigation measures and is limited by a lack of accurate data and inability
to account for partial success of components or mitigation measures.

Part (b) (i) required the following tree:

Marks were awarded for the correct tree structure and accurate calculations. Candidates are required to provide
their working in order to achieve the full marks available.
In part (b) (ii) reference to more reliable components, parallel systems and active redundancy along with
maintenance and testing would have achieved good marks

Q. An organisation has decided to introduce a permit-to-work system for maintenance and engineering
work at a manufacturing plant that operates continuously over three shifts.
(a) Outline key issues that will need to be addressed when introducing and maintaining an effective permit-
to-work system.
(b) A year after the introduction of the permit-to-work system, a regular routine inspection shows that
many permits-to-work have not been completed correctly or have not been returned. Outline possible
reasons why the system is not being properly adhered to.

The question proved popular and was answered by around 93% of candidates sitting the examination. This may
be a reflection of the likelihood that PTW’s are commonly used to support safe systems of work in many
organisations.
Answers to the question were variable in quality with many candidates choosing to explain what a PTW is, which
was not required in the question. This suggests that candidates may have learned PTW as a standard answer and
delivered the content irrespective of the question.

There were many examples of good, well thought out answers to part (a) that covered areas such as; providing a
clear definition of the job areas where the PTW would apply and ensuring that each PTW was identifiable with a
unique reference to avoid confusion. Provision of appropriate information on the PTW form such as hazards,
controls and persons responsible clearly identifiable on the documentation; development of the PTW system
covering operation of the system in terms of permit requests, allocation, cancellation, extensions, etc to ensure
that the permit is properly managed throughout the process and not lost or not handed back following work
completion; where multiple permits were likely to be in operation the process for recording and displaying permits
as well as the process for completion and handover of permits between shifts would need to be completed prior
to introducing the PTW system. Additionally arrangements would need to be in place to cover training of persons
directly involved with the PTW system along with a system to monitor individual performance to ensure that
systems were effectively maintained and training interventions such as refresher brought in as required when
identified during monitoring activities; other monitoring should be in place to allow for auditing and checking of
the operation of the system over time. Finally it would of course be necessary to involve the workers through
consultation on the development of and the implementation of the new PTW system.
In part (b) Examiners were looking for candidates to provide some insight into the reasons that health and safety
systems may deteriorate, in this particular case in relation to the PTW system. Again many candidates were able
to allude to areas such as lack of training and monitoring of the system, poor culture, production pressures, etc
and managed to collect marks. However it was evident once again that candidates seemed to be unaware or unable
to provide the required level of detail to gain high marks as many resorted to lists or very brief accounts of the
issues. In order to earn high marks
Examiners are looking for candidates to demonstrate a level of understanding that reflects study at level 6, ie an
in depth understanding of the specific topic and learning outcome. Answers that are limited to statements such as:
method statements not attached, risk assessments missing; complacency; do not satisfy the examination
requirement for marks.

Q. A manufacturing organisation with major on-site and off-site hazards is analysing the risks and controls
associated with a particular process and containment failure. Following process containment failure, a
failure detection mechanism should detect the release. Once detected an, alarm should sound and a
suppressant should be discharged. Additionally, in order to prevent an uncontrolled release, an operator is
required to activate manual measures following the discharge of the suppressant.

The organisation has decided to analyse the risks associated with an uncontrolled release from the process
using an event tree based on the table below.

(a) Using the information provided in the above table, construct an event tree that shows the sequence of
events following the process containment failure AND indicate where an uncontrolled release may occur.
(b) Outline THREE benefits AND THREE limitations of event tree analysis.
(c) Outline the methodology for a ‘cost benefit’ analysis for the process described.
(d) Outline factors that should be considered in order to determine whether the frequency of an
uncontrolled release would be tolerable.

The Event Tree Analysis (ETA) along with other advanced risk assessment techniques and failure tracing
techniques are regular questions on the International Diploma.

Explain the principles and techniques of failure tracing methodologies with the use of calculations.
The lack of numbers and lack of requirement to calculate a frequency or likelihood of occurrence seemed to
throw some candidates. The aim of the question is to establish candidates’ understanding of the construction,
use and limitations of event trees as well as judgement in terms of risk tolerability.

The ETA diagram was generally well done with most candidates gaining high marks for this and also for outlining
the benefits and limitations of the technique that include:
o Provides a visual representation of the sequence of events;
o Useful therefore in identifying points of potential failure and subsequent points of intervention
to mitigate the consequences;
o Can be used with quantities to calculate the likelihood and frequency of occurrence.

Limitations on the other hand could have included:

o Theoretical paths only are considered as well as excluding partial operation or failure of a
control measure;
o The process of ETA can be complex and time consuming requiring expert input and the data
used can be difficult to obtain or not reliable.

Candidates that failed to provide the outline asked for, eg this method is using risk assessment
process were not awarded high marks. Fewer candidates, however provided good answers to parts (c) and (d).
The concept and methodology of cost benefit analysis does not seem to be well understood. For 3 marks
Examiners were looking for candidates to express a process of quantifying loss in terms of monetary values,
quantify the cost of improvements in terms of monetary value and a comparison the two outcomes.

Candidates could also have made reference to the value of money overtime, eg a monetary value today is worth
less in the future due to inflation, also the cost of borrowing capital to make improvements would be worth a
mention, although these concepts seemed too advanced for candidates of the Diploma.

Similarly in part (d) few candidates mentioned tools like using numerical risk data or published tolerability data
such as in Reducing Risks Protecting People , the results of a Cost Benefit Analysis study or the impact on
production of the cause of the release. Candidates did however pick up a mark or two by mentioning the proximity
of the plant to homes and the health implications of a release.

Q. The management of a chemical store with major on-site and off-site hazard potential is
analysing the risks and controls associated with a particular storage facility and potential
containment failure. Following containment failure (f=0.5 per year), an automatic failure
detection mechanism should detect the release. Once detected, an alarm sounds followed by a
suppressant being dispersed. Finally, in order to reduce the consequences of the event an
operator is required to take manual control measures following the release of the suppressant.
As part of the analysis, the organisation has decided to quantify the risks from the containment
failure and develop a quantified event tree from the data.

Activity Frequency / reliability

Process containment failure 0.5 per year
Failure detection 0.98
Alarm sounders 0.99
Release suppression 0.8
Manual control measures 0.7
activated
(a) Using the data provided, construct an event tree that shows the sequence of events following
process containment failure.
(b) Calculate the frequency of an uncontrolled release resulting from process containment
failure.
(c) Outline factors that should be considered when determining whether the frequency of the
uncontrolled risk is tolerable.
(d) Outline a methodology for cost benefit analysis with regard to the process described.

The calculations required in part (b) were a little more mixed, with a range of responses that were
accurate, some contained calculation errors and some that used the wrong methodology. Candidates
who calculated a frequency of around every 4.4 years were correct. However, it is important to
emphasise that candidates must show their calculations at each stage in order to gain good marks.

Stating that the frequency was 4.4 years without providing the relevant calculations is not worthy of
marks in the context of this examination.

Part (c) required candidates to provide evidence of understanding the use of such tools as event tree
analysis in determining the tolerability of risk. Candidates who had referred to published data and
comparative data, as well as other implications (such as societal), gained good marks. There were
several candidates who showed little or no understanding of the term ‘t_o_l_e_r_a_b_l_e_’._ _

In part (d) candidates were required to offer the methodology that recognises quantification of loss in
terms of monetary value, quantification of improvement costs in terms of money, and a comparison of
the two values to assist in the process of cost benefit analysis and decision making. While full marks
were often awarded, equally there was evidence that the concept was not well understood by many
candidates.

Calculation-type questions offer candidates a good chance to gain good marks provided they
understand the methodology required. However, it is equally important that candidates understand the
overall process being examined and how to apply and analyse the data to help make useful risk
management decisions.

EL.6
Q. (a) Outline key principles of the following risk management strategies AND give an example
of EACH :
(i) risk transfer;
(ii) risk reduction.
(b) When applying a risk reduction strategy, outline factors that affect the choice of risk
control measures.

Risk management and decision making around controls is the cornerstone of health and safety and therefore a
deep and thorough understanding is required by the health and safety practitioner and candidates of the
International Diploma. The vast majority of candidates successfully identified the principles of both risk transfer
and risk reduction.
In part (a) (i) most candidates could outline that risk transfer involved transferring responsibility to a third party,
but only a small number of candidates stated that the organisation would have to pay a premium for this. Nearly
all candidates gave the example of transferring risk to an insurance company.

In part (a) (ii) few candidates were able to outline that risk reduction involved evaluating risks and developing
risk reduction strategies or defining acceptable levels of risk to be achieved. Candidates merely said that it was
about reducing risk. Most candidates gave practical examples but the question asked for strategies, eg using the
hierarchy of controls.

In answer to part (b) many candidates gained marks for correctly outlining cost. Following this, several candidates
gained marks for legal requirements and employee competence requirements. Many candidates also included
whether the strategy would be for the long term or the short term.

A common error in part (b) was to simply give a hierarchy of control as opposed to the factors that might affect
the choice of control measures. Marks could only be awarded for an outline of the factors to consider when
selecting controls.

Q. (a) A manufacturer wants to introduce a permit-to-work system at a factory that operates

continuously over three shifts.
Outline the key issues that will make an effective permit-to-work system at the factory.
(b) An audit takes place a year later. The audit shows many permits-to-work have not been
completed correctly, or have not been signed back.
Outline possible reasons why the permit-to-work system is not being followed.

This question assessed candidates’ knowledge and understanding of learning outcome 6.3: Explain the
development, main features and operation of safe systems of work and permit-to-work systems.
Overall, the question was well answered with candidates providing good information on both what
makes an effective permit system as well as reasons for the system not being followed.
In order to gain good marks in part (a) candidates needed to provide an outline of issues such as
defining activities requiring permits, consultation with workers, specific procedures for shift handover,
etc. Fewer candidates used the scenario to give context to the answer and there was evidence of
candidates listing issues rather than providing an outline, as required in the question.
In part (b) candidates appeared to be more familiar with the reasons a permit-to-work system may not
be followed and gained marks by mentioning reasons such as lack of specific training in permit
requirements, production pressures, poor safety culture, etc. Again, listing instead of outlining was
evident on several scripts, restricting the marks that could be awarded.
Examination technique and understanding how to answer questions, as well as the technical content,
are key to gaining good marks in any examination and the NEBOSH International Diploma is no
exception. Candidates need to clearly demonstrate their knowledge and understanding of a topic.

(a) A mixing vessel that contains solvent and product ingredients must be thoroughly cleaned
every two days for process reasons. Cleaning requires an operator to enter the vessel, for which
a permit-to-work is required.
During a recent audit of permit records it has been discovered that many permits have not been
completed correctly or have not been signed on completion. Outline possible reasons why the
permit-to-work system is not being followed correctly.

(b) An organisation operating the same process has demonstrated that the vessel can be
cleaned by installing fixed, high pressure spray equipment inside the vessel which would
eliminate the need for vessel entry.
The health and safety manager wants to adopt this system for safety reasons but the Board has
requested a cost- benefit analysis of the proposal.
Outline the principles of cost-benefit analysis in such circumstances. Detailed
discussion of individual cost elements is not required.

This question assesses a common area in health and safety, namely that of permit-to- work and
justifying control measures in an organisation. In part (a) candidates could have referred to matters
such as competency of persons involved in either issuing or receiving the permits, as well as other
influences such as lack of supervision and perceived importance of the permit-to-work system along
with a poor safety culture.

In part (b) candidates were expected to demonstrate knowledge of the principles of cost benefit analysis
without having to cost the individual elements of the control measure or benefits expected. However,
candidates were expected to offer information such as costs included both capital and ongoing costs,
and benefits would also need to be quantified in monetary terms that would then allow a comparison to
be made in order to justify the introduction of the control measure.

Most candidates were able to provide reasonable answers in relation to the permit-to-work but had
difficulty in explaining cost-benefit analysis.

Q. Outline information that should be included in written safe systems of work.

Details of any specific risk controls are not required.

Reasonable answers were able to point to a description of the activity, identification of risks or hazards,
specification of PPE, emergency procedures and, sometimes, to the review date for inclusion in a
written safe system of work.

Marks could have been gained for outlining information concerned with the authorisation,
communication and safe completion procedures and linkages with a permit-to-work. Some candidates
listed the components as opposed to outlining them, thus limiting marks that could be awarded. Others
gave specific risk controls, which the question stated was not required. Candidates are reminded to
read and re-read a question carefully, to take note of the command word and any instructions that will
instruct them what is or is not required.

El 7
Q. (a) Organisations are said to have both formal and informal structures and groups.
Outline the difference between ‘formal’ and ‘informal’ in this context.
(b) The development of a health and safety culture requires control, co-operation,
communication and competence. Outline what ‘co-operation’ means in this context
AND give examples to support your answer.
(c) Outline reasons why a negative health and safety culture may result if
organisational change is not managed.

This was a reasonably popular question and assessed candidates’ understanding of some of the organisational
factors that can affect health and safety. Many candidates showed a good understanding of the formal and informal
organisational concepts by providing an outline of formal structures, roles and responsibilities and contrasting
them with social relationships and friendships which are usually seen in the formal structure
and influenced by individual personality.

In part (b) of the question candidates were required to provide an insight to co-operation in the context of influence
on the culture of the organisation. The four C’s of control, cooperation, communication and competence should
be well known by candidates. Many of those candidates who attempted the question recognised that co-operation
was about management and worker relationships and gained good marks by outlining elements of involvement
through toolbox talks, risk assessments, consultation and sharing ideas.
In part (c) the influence on culture through failure to manage change effectively proved a difficult part of the
question for many candidates. Candidates could have outlined factors such as concern about job security leading
to risk taking and poor safety behaviour, personnel changes causing loss of experience, lack of appreciation of
impact of change leading to poor assessments, etc.

A number of candidates listed points and did not outline the factors as was required in the question. Once again
examination technique seems to have been missing for many which is a must for this and any other examination
at this level.

Q. (a) Outline the behavioural attributes of the following types of leadership:

(i) transformational; (4)
(ii) transactional. (4)
(b) Explain why leadership styles need to vary in practice. (2)
This question assessed candidates’ knowledge and understanding of learning outcome 7.1: Explain the
types of health and safety leadership, their advantages; disadvantages and likely impact on safety
performance.
Although a relatively new addition to the syllabus, understanding leadership styles is an important area
of knowledge and skill for a safety practitioner.
In part (a) many candidates did not appear to recognise the terminology of ‘transformational’ and
‘transactional’ in the leadership context. Those candidates who did were able to outline attributes such
as visionary and good communicator for ‘transformational’ and the more directive attributes including
reward and punishment for the ‘transactional’ style.
In part (b) many candidates recognised that in practice the style should vary in order to get the best out
of the situation. However, few referenced the work of Hershey and Blanchard on situational or
contextual leadership as part of their answer, which is specifically mentioned in the new syllabus.
A thorough understanding of the learning outcomes and the supporting technical content from the syllabus is
essential in order to be successful at this level.
In part (b) candidates were asked to calculate the reliability and show their workings at each stage.
However, there were several candidates who, while stating the correct answer 0.7, did not provide the
workings and therefore could not gain full marks. Candidates who used the formula R System = RA x ((1-
(1-RB)(1-RC)) x RD x RE would have achieved the correct answer. Candidates who used other means of
calculating the reliability, showed their workings and came to the correct answer, were also awarded
marks.
In part (c) there were some good answers that included points such as component reliability assurance,
maintenance regimes, etc. However, some candidates appeared to go off track and talked about
organisational reliability for which marks could not be awarded.
Practice and familiarisation with such theories and their associated calculations is an important part of
the examination preparation process.

In part (a) several candidates appeared to acknowledge and understand that there were differences in
behavioural attributes but were unable to articulate this, sometimes mixing up the two types and limiting
their marks. Additionally, some candidates gave outcomes of the leadership types rather than the
attributes. Some confusion in respect of transformational leadership was also observed, with candidates
attempting to position it as an inferior leadership style that organisations should avoid.
Some candidates were able to outline that being inspirational and a good communicator were attributes
of the transformational style, and being authoritative and rewarding or punishing were attributes of the
transactional style.
In part (b) many candidates explained that leadership style needs to change depending on different
groups and situations. However, they did not develop this further into an explanation with reference to
situational and contextual leadership frameworks, limiting marks that could be awarded.

Q. (a) Give the meaning of the term ‘h_e_a_l_t_h_ _a_n_d_ _s_a_f_e_t_y_ _c_u_l_t_u_r_e_’.
(b) Outline organisational factors that may act as barriers to the improvement of the health and
safety culture of an organisation.

Part (a) was generally well answered. Candidates were expected to link attitude, beliefs, etc to safety
behaviour in the workplace in order to be awarded the marks available.
Part (b) set out to give candidates the opportunity to demonstrate an understanding of culture and
influences focusing on barriers rather than promoters of culture. Barriers to improving organisational
safety culture could have included lack of commitment from senior management, inadequate
resourcing, high staff turnover, etc.
Culture and human factors are key parts of the syllabus and candidates should be prepared to tackle
questions on these subjects which are framed in both positive and negative formats. Again, reading the
question is key. Providing a rehearsed answer to the subject area will not gain good marks at this level
of examination.

Q. An organisation is expecting the arrival of contractors to start work on a project within a large
chemical manufacturing site. The work does not include any confined space working or work at
height.
The health and safety implications of the work, level of risk and additional information have been
assessed by the organisation and communicated to the contractor management team. The
contractors have been selected based on evaluation of competence, health and safety policy,
risk assessments and method statements. The organisation and contractor management teams
have assessed the risks to the organisation’s workers, contractor’s workers and the public
based on the planned work.
Outline practical ways of managing contractors:
(a) in relation to provision of training when they initially arrive on site for work; (7)
(b) during work; (10)
(c) on completion of work. (3)

Contractor management is a key part of the modern workplace and essential in maintaining good health
and safety performance.
This question assessed candidates’ knowledge and understanding of contractor management and more
specifically the kind of management controls to be put in place during the various stages of the contract
work.
In part (a) many candidates gave good outlines that included induction training and site familiarity as
part of their answers. Other areas included extending the induction training to cover issues such as use
of identity badges, site contact arrangements, specific controls to be used permits-to-work, etc. It
appeared that those candidates who had practical experience of organising contractor inductions were
able to broaden out their answer to gain good marks.
In part (b) the contract work has moved to the delivery phase and therefore the management controls
would need to reflect this. Better answers referred to active monitoring of the contract work, change
management procedures, checking compliance, etc. In some instances candidates adopted the position
of the contractor and began to describe how the contractor would operate, which was not part of the
question and therefore did not gain marks.
Part (c) related to the completed work and several candidates referred to clean up operations after the
contractors had left the site. Management actions such as reviewing the work on completion for
technical content, as well as the health and safety performance of the contractor, would have gained
marks. It would have been appropriate to mention the contractor appointment processes and any
lessons learned procedures

Q. Identify FIVE groups external to an organisation that may need to be provided with health
and safety information for legal or good practice reasons AND, in EACH case, outline the type
of information to be provided.

Overall this question was well answered with candidates making reference to: Trade associations,
emergency services, government departments, etc. The question also asked for an outline of the type
of information to be provided which posed more difficulty to candidates as several seemed to be unsure
of the information requirements and therefore missed available marks. It is important that candidates
recognise the importance of stakeholder management and develop a good understanding of both legal
and good business requirements.

Q. Outline content of typical behavioural change programmes.

This question was the least popular of the questions in Section B of the question paper and those candidates who
attempted it did not appear to have a good understanding of behavioural change programmes. There was
widespread discussion about behavior in the workplace generally and while this is an important area for
organisations to influence this was not what the question was asking. Candidates should have provided an outline
of the content of a behavioural change programme that leads the Examiner through who would be involved; such
as behavioural safety champions, supervisors, etc; training requirements, management input such as commitment,
praise, support and promotion of the programme, measurement and monitoring of desired and undesired behaviour
and trends along with communication and feedback in various forms.
A question such as this requires the candidate to structure their answer so that they follow a logical progression
through it. Candidates could have used a Plan Do Check Act approach which would have been a logical format.
Few candidates did this and many wrote extensive narratives that while hitting the occasional point did not yield
sufficient marks. It would appear that the subject of behavioural safety programmes is not one that is well known
among this group of candidates, which given its importance in shaping health and safety performance needs more
attention from course providers and candidates.

Q. (a) Outline reasons for establishing effective consultation arrangements with employees on
health and safety matters in the workplace.
(b) Outline a range of formal and informal consultation arrangements that may contribute to
effective consultation on health and safety matters in the workplace.
(c) Outline how the health and safety practitioner can help to develop and support arrangements
for consultation with employees on health and safety matters.

For part (a) some candidates outlined the encouragement of submitting new ideas and that the safety
culture would be improved. However, few gave further insight, and many candidates were unable to
accurately make reference to the specific statutory requirements for consultation.
Part (b) was answered most successfully although few candidates were able to offer enough examples
of arrangements that would contribute to effective consultation. Few candidates outlined the need for
staff appraisals, union-appointed safety reps and questionnaires/suggestion schemes.
Part (c) was not well answered as the majority of candidates confused this part of the question. Many
candidates answered the question as if the practitioner was responsible for ensuring adequate
consultation and as such the suggested approach was very practical. Other candidates missed the
relevance of consultation altogether and focused on the overall role of the practitioner.

Q. The management of an organisation intends to introduce new, safer working procedures.

(a) Outline practical measures that the management could take to communicate effectively when
managing this change.
 (b) Other than effective communication, outline additional ways in which the management could gain the
support and commitment of workers when managing this change.
In part (a) of the question candidates needed to offer practical measures to communicate change and measures
such as frequent newsletters, regular meetings, use of noticeboards and suggestion schemes, were relevant. This
was well answered by a good number of candidates who understood the requirement for practical measures in the
question. However, there was a correspondingly large number who did not follow the practical measures direction
in the question and referred to actions such as developing the safety culture and investigating accidents among
others.

In part (b) candidates should have developed the change management theme and outlined other change
management tools such as staff surveys, consultation, involvement of workers, incentives, disciplinary measures,
resource allocation, etc. Overall, part (a) was better answered than part (b) and it seems that there were candidates
who did not make the link in change management tools to keep workers on board with new procedures.

EL 8

Q. A control panel aimed at reducing the likelihood of human error is installed.

Outline the desirable design features of:
(a) controls; (12)
(b) displays (8)
for this control panel.
In part (a) in terms of controls, most candidates stated that controls should be kept to a minimum; they
should be visible and easily reachable. Candidates must be able to recognise that the number of marks
in a section, along with the command word, should signpost them to the number of points that should
be made. Many candidates missed the opportunity to develop their answers further to consider issues
such as protection against inadvertent operation or that the stop function should override the start and
adjust functions.
In part (b) candidates specified that displays should be clearly visible, shielded from glare and strong
ambient light, and that there should be a minimum number of displays. Outlines of further issues such
as consideration of appropriate sense or redundancy of message were absent, limiting marks that could
be awarded.

Q. A train driver has passed a stop signal resulting in a collision with another train. Investigation
of the incident concluded that the driver had seen the overhead signal but had not perceived
the overhead signal correctly. There had been a number of previous similar incidents at the
signal,
although the driver was not aware of this. The driver concerned was inexperienced and had not
received information and training associated with that route. The signal was difficult to see
being partly obscured by a bridge and affected by strong sunlight. In addition, the arrangement
of the lights on the signal was a non-typical formation. The driver had approached the signal
with no expectation from previous signals that it would be on ‘stop’.
(a) Give practical reasons why the driver may not have perceived the signal correctly. (7)
(b) Outline the steps that could be taken to help reduce the likelihood of a recurrence of this
incident. (13)

The subject matter of human factors presents a broad area for scenarios, analysis and application of knowledge to
assess candidates’ depth of understanding in this important area. The scenario in this question should have been
well understood by those candidates who had prepared for the examination.

Part (a) required candidates to apply their understanding of perception and behavior and give practical reasons
and those candidates who did, gain good marks in this part. Answers that reflected practical reasons such as failure
to distinguish colour, affected by sunlight, distraction were on the right lines to gain good marks. However, there
were those candidates who missed the practical reasons signpost and went on to discuss underlying causes such
as training and supervision, which were not mark-worthy in the context of this question.
Part (b) gave candidates the opportunity to outline what could be a myriad of steps to prevent a recurrence
including selection and recruitment of drivers to ensure capability, training and competence development, health
surveillance, etc. However, candidates need to be specific when answering questions such as this. Simply saying
‘provide information training and supervision’ is too general at this level of qualification.
Similarly, saying ‘undertake a risk assessment’ is also too general to be awarded marks. For candidates seeking
a career in the health and safety profession, it must be appreciated that health and safety advice to managers (and
others) must be very clear and very practical. There is no room for vagueness and ambiguity.

Q. An organisation has decided to use a behavioural change programme to improve its safety
performance.
(a) Give the meaning of ‘behavioural change programme’.
(b) Outline actions that should be taken before the behavioral change programme can be
implemented.
(c) Outline potential barriers to implementing the behavioral change programme

The question was not well answered overall despite the fact that behavioural safety is a key health and safety
subject in many organisations. In part (a) Examiners were looking for candidates to link reducing unsafe
behaviours and increasing safe behaviours through a defined programme to reduce accidents overall.

In part (b) candidates were asked to outline actions to be taken before the programme is implemented. Examiners
were expecting candidates to outline areas such as: consultation with workers and worker representatives in order
to communicate the aims, objectives and benefits of the programme; agree what are unsafe and safe behaviours
and prioritise those for action, developing measures of the behaviours along with improvement targets and a
format for gathering the relevant data. Once agreed the team should then agree a pilot programme to be run
followed by a review and subsequent improvements where necessary, communicating the findings to relevant
stakeholders including workers and management. Once final amendments are agreed then a final implementation
date should be set and the programme rolled out with regular reviews and updates.

Part (c) of the question sought to assess candidates’ knowledge of some of the difficulties in implementing such
a programme. Key areas where marks were available were where candidates outlined: Failure or lack of
consultation with workers; worker concerns about observations not addressed; acceptance of shift of responsibility
from management and systems to workers actions; observations which are ineffective due to lack of training;
ineffective or lack of feedback to workers; disagreements over safe working practices and their implementation;
failure of management to support findings of the programme and encourage/lead safe behaviour; difficulty in
maintaining the programme over time where quick changes are not evident; conflict with reward schemes for
payment or production.
These are just some of the areas for which marks were available. Many of the points identified above are in fact
typical difficulties in implementing any programme of change within the working environment. It was surprising
that more candidates were not able to apply an understanding of implementation of initiatives to the behavioural
change programme scenario and gain more marks. It seems that candidates are only prepared in specific areas and
have difficulty in applying knowledge across other aspects of health and safety management. It is of course unclear
to the Examiners as to whether this is a function of the teaching methods employed by course providers generally
or whether it is a function of the style of learning with candidates of the International Diploma.

Q. (a) Outline the meaning and relevance of the following terms in the context of controlling
human error in the workplace:
(i) ergonomics;
(ii) anthropometry;
(iii) task analysis.
(b) Other than ergonomic issues, outline ways in which human reliability in the workplace may
be improved. In your answer, consider ‘individual’, ‘job’ and ‘organisational’ issues.

In part (a) candidates were generally able to outline the meaning of the terms ‘ergonomics’,
‘anthropometry’ and ‘task analysis’. However, fewer candidates were able to gain the full mark allocation
as the question required reference to the relevance of the terms in controlling human error.

Marks were awarded for points such as including accounting for human limitations, application of reach
distances to equipment design and analysing the scope for human error. In part (b) candidates were
prompted to structure their answers using the headings of Individual, Job and Organisational issues,
which it was expected would be helpful to candidates. However, there were many candidates who did
not refer to these prompts. Those who structured their answers using the prompts tended to gain more
marks than those who did not. Marks were available for consideration of individual skills, use of job
rotation and developing a positive health and safety culture, for example.

Where a question includes a structure or prompt to candidates for their answers it is recommended that
candidates follow the prompt as they are designed to assist the candidate in their answer.

Q. An organisation has a poor record of health and safety performance. The health and safety
manager is leading an initiative to create a positive health and safety culture in the organisation.
(a) Outline actions that the health and safety manager could take in order to promote a positive
health and safety culture.
(b) Describe how the health and safety manager could demonstrate positive cultural change to
the organisational management team.
.
Candidates were expected to convey an understanding of the promotion and demonstration of health
and safety culture and climate. In part (a) candidates could have referred to actions such as developing
management commitment, through training, leading by example, providing regular information updates
and providing training events that can be used to develop competence in
health and safety. Other actions may have included setting targets and monitoring performance.
In part (b) candidates were expected to describe how cultural change could be demonstrated through
measures such as culture and climate assessment tools, perception surveys and attitude surveys to
show changes in perceptions and attitudes. Also, by demonstrating improvements in health and safety
performance using both active and reactive measures.

To gain good marks candidates were expected to offer the Examiner a good range of opportunities to
award marks in each part of the question. However, it appeared that many candidates did not have a
detailed grasp of the actions or measures that are required in relation to cultural development and
monitoring.

Q. An organisation has decided to use a behavioural change programme to improve its safety
performance.
(a) Give the meaning of ‘b_e_h_a_v_i_o_u_r_a_l_ _c_h_a_n_g_e_ _p_r_o_g_r_a_m_m_e_’.
(b) Outline actions that should be taken before the behavioural change programme can be
implemented.
(c) Outline organisational factors that could affect the success of the behavioural change
programme.

This question assessed candidates’ knowledge and understanding of learning outcome 8.7:
Outline the principles, conditions and typical content of behavioural change programmes
designed to improve safe behaviour in the workplace.
This question was not selected by many candidates. Those who did attempt it gave a mixed
response with the majority having difficulty in articulating a depth of understanding of
behavioural change programmes.
In part (a) answers should have made reference to a programme aimed at changing the
frequencies of safe and unsafe behaviour.
Part (b) related to the planning and activities required to help ensure the delivery of a suitable
programme. This could have included points such as worker consultation, communication,
pilot programme, etc and many candidates recognised these as important actions. However,
the level of detail provided in the outline often meant that answers were limited, and in the
marks that could be awarded.
Part (c) assessed the depth of understanding of organisational factors that would actually limit
the success of a programme. Since the question did not specify positive or negative success,
marks was awarded for either positive success factors or negative factors, although better
answers were limited.
While there may be topics in an examination that candidates are less familiar with, applying
knowledge and principles can be a rewarding approach. However, with this approach the
principles must be given context in relation to the question asked, in this case a behavioural
safety programme, and the command word of the question followed, in this case ‘outline’.
Providing vaguely associated words such as ‘consultation’ and ‘communication’ without
context will not gain marks at this level of examination.

Q. (a) Give the meaning of the term ‘m_o_t_i_v_a_t_i_o_n_’.

(b) Outline Maslow’s model of the hierarchy of human needs AND give a suitable example within
EACH stage of the model.

In part (a) answers demonstrated a general understanding that motivation is a driving force for individual
behaviour. However, few candidates went further than this.

Part (b) sought to test the theory of motivation as described by Maslow. The hierarchy of needs
described by Maslow is a useful tool for describing motivation at a basic level. Few candidates were
able to recall the hierarchy and therefore were unable to give suitable examples of each stage.

In some answers it was evident that there was confusion between motivational theory and
encouragement to make workers work harder. Understanding the theory will help practitioners apply
systems in the workplace to improve the health and safety performance of workers.

Q. ‘Perception’ may be defined as the process by which individuals interpret Information that
they have taken in through their senses. Sensory inputs may be affected by the workplace,
resulting in a distorted perception of risk.
Outline FIVE types of sensory input AND give examples of how EACH may be impaired in the
workplace.

Candidates were expected to demonstrate an understanding of the concept of perception in relation to

sensory inputs and how perception of risk may be affected by the workplace. Candidates were expected
to give the Examiner an outline of the senses and consequently how they may be affected by the
workplace, eg sight sensory perception of light that can be affected by workplace lighting or glare, or
the use of PPE; sensory perception of sound that may be affected by noise in the workplace.
Candidates were expected to offer similar information in relation to touch, smell, taste and
proprioception (internal sensory perception such as dizziness and limb position). While many
candidates provided the senses, few were able to make the connection between the workplace and the
senses. In many instances candidates referred to sensory perception, eg hearing and sound, and then
made reference to hearing defects such as deafness. This type of answer did not gain good marks as
the Examiner was looking for the link between the sense and the workplace causing
interference with the sense.

Q. Competence may be considered as the ability to perform adequately in a given role. Describe
arrangements to help ensure competence in an organisation.

In the Guidance Document Managing for Health and Safety, HSG65, 2013, the HSE define competence as
“Competence is the ability to undertake responsibilities and perform activities to a recognised standard on a
regular basis. It combines practical and thinking skills, knowledge and experience.” (HSE, 2013).

Consequently, the arrangements that could be in place to ensure competence include such arrangements as:

1. Clearly defined job roles to ensure that standards of performance and competence levels are clear
and measurable;
2. Procedures for recruitment or selection for job roles is such that experience and ability form part of
the criteria ensuring competence is maintained;
3. Arrangements to ensure that workers receive adequate training and opportunities to develop
experience in the relevant tasks;
4. Arrangements to monitor performance of workers and subsequent intervention plans to ensure
that performance standards are maintained in line with the job role requirements;
5. Arrangements for introducing training following changes to job specifications including substances
and equipment;
6. A system to check the suitability and competence of contractors to fulfil outsourced roles;
7. Arrangements to ensure that adequate cover is provided in case of staff absence such as
vacations and sickness;
8. Adequate resource availability and allocation to provide adequate arrangements for providing
information and effective communications to workers in relation to work activities and job roles.
9. Arrangements for testing both skills and decision making for safety critical roles such as vehicle or
machinery operation;
10. Arrangements for health promotion and health surveillance schemes to ensure that workers are
monitored in terms of being physically able and capable of completing job roles and not adversely
affected by the role.

There were examples of candidates that had interpreted the question as requiring a definition of or
explanation of what competence was. Clearly this type of answer is unlikely to attract even moderate
marks since the question required knowledge of organisational arrangements to ensure that workers
were competent to fulfil roles.

ADDITIONAL QUESTIONS

Q. Outline ways in which health and safety practitioners could:

(a) evaluate; (6)
(b) develop (4)
their own competence.

There was some crossover of answers between part (a) and part (b) which suggests a lack of understanding of the
terms ‘evaluate’ and ‘develop’. In part (a) most candidates used benchmarking and personal objectives, seeking
feedback and advice, as well as appraisals. Some candidates also mentioned the organisation’s performance. In
part (b) qualification was a popular answer, CPD, conferences, seeking advice, etc also gained good marks.

Q. A poor organisational safety culture is said to lead to higher levels of violation by

employees.
(a) Give the meaning of the term ‘violation’ AND outline the classification of violation as
‘routine’, ‘situational’ or ‘exceptional’. (6)
(b) Outline why a poor safety culture might lead to higher levels of violation by employees. (4)
(a) Give the meaning of the term ‘violation’ AND outline the classification of violation as
‘routine’, ‘situational’ or ‘exceptional’. (6)

o Violations are deliberate deviations from the rules or a procedure and can be divided into three types:
situational, routine and exceptional.
o Most violations are motivated by a desire to carry out the job despite prevailing constraints, and very
rarely are they motivated by wilful acts of sabotage or vandalism.
o Routine violations occur when Breaking Rules become a way of working within a group due the desire
to take short cuts and the workers perception maybe that the rules are too restrictive or the rules no
longer apply , this could be due to lack of enforcing the rule.
o Situational Violations- Breaking Rules due to the pressure from the job such a time pressure,
insufficient staff for the work load and the right equipment not being available.
o Exceptional Violations- These rarely happen only when something goes wrong. To solve the problem
employees believe you that a rule has to be broken. It is falsely believed by the employees that the
benefits outweigh the risk.

(b)
It is worth mentioning that a safety culture is based on the common beliefs and perceptions of
workers which are built up over time by the decisions and behaviours of management and their
fellow workers. A shared perception that safety is not important could lead to individuals violating
rules because they have a different perception of what is important. They may be influenced by
peer pressure. They wish to be accepted by their peers, so will behave in a similar way, even if
this means violating rules. General perception that rules are not important. Production is
considered the most important part of the job.
Q. Explain the principles and methodology of a Hazard and Operability (HAZOP) Study.

The principles of a Hazard and Operability (HAZOP) study are to systematically question every
part of either a new system during the design phase or an existing system by a multidisciplinary
team to identify potential hazards and operability problems that may be caused by deviations
from the design intent of the plant being studied. An essential process in a HAZOP for
questioning and systematic analysis is the use of keywords to focus the attention of the team
upon deviations and their possible causes. Adequate controls can then be identified depending
on the outcome of the study.
The methodology of a HAZOP study firstly involves selecting a multidisciplinary team, this should
include persons familiar with the plant or system to be studied, design engineers and other
specialists. A team leader should be selected and this person should be an experienced
specialist from works management or a specially trained consultant.
A full description or overview of the plant is to be made in order to maintain an overview of the
whole process so that parts of the system are not left out.
Once this is done, a section of the plant is selected and all applicable primary words (Deviations)
are identified. Primary words are typically process orientated words that could consist of words
like: Flow, Pressure, Etc.
After the primary keywords are identified, secondary keywords are used to identify possible
causes to the deviation and the possible consequences are linked to them.
All current and design safeguards are then identified and should shortcomings be found, actions
are formulated to improve current or introduce new safeguards and the study is then redone.
The results are recorded in a table for traceability and tracking.

- Purpose is to identify deviations from intended normal operation.

- Team approach
- Includes specialists from a variety of functions and disciplines (engineers, process specialists,
chemists etc.)
- Team leader skilled in HAZOP process
- HAZOP used at design and modification stages
- Scope of the study clearly defined
- Process is broken down into elements
- Collection of data, drawings, specifications, layout etc.
- Uses a brainstorming approach
- Deviations against process parameters are prompted by the use of guide words. Give
examples of the guide words (MORE, LESS, AS WELL AS etc.) and parameters (flow, pressure,
level, temperature etc.)
- It is an explain question, so marks are available for examples. So you could give an example of
a deviation against a process parameter. e.g. If transferring hydrocarbons from one tank to
another, MORE flow, which could lead to overflow. An overflow would lead to MORE level, and
possible increase in pressure/venting etc.
- HAZOP will examine the causes and consequences of each deviation. Again, give some
examples to illustrate what you are saying.
- Creates an action plan.
- Findings are recorded in a report.

A forklift truck is used to move loaded pallets in a large distribution warehouse. On one
particular occasion the truck has skidded on a patch of oil. As a consequence the truck
collided with an unaccompanied visitor and crushed the visitor's leg.
a) Give reasons why the accident should be investigated. (4)

 We investigate accidents to identify the causes, both immediate, underlying and the root
causes.
 The goal is to prevent recurrence of the accident.
 We need to determine whether we are complying with legal requirements or not.
 It is an implied legal requirement to investigate accidents. To comply with the general
duties of C155 it is necessary to investigate accidents.
 Investigations demonstrate management's commitment and can restore worker morale
and reassure them that their safety is important.
 The information collected can be used to determine liability, so a decision can be made
whether to settle or defend civil claims.
 The cost of the accident can be calculated, and this will help demonstrate the cost
benefits of implementing the recommendations.
 Investigations will help identify trends which can then lead to reallocation of priorities and
resources to problem areas.
 The investigation will discover the causes, and reveal deficiencies in risk assessments
and safe systems of work.

b) Assume that the initial responses of reporting and securing the scene of the
accident have been carried out. Outline the steps which should be followed in order to
collect evidence for an investigation of the accident. (8)
 Taking photographs, make sketches, and take measurements of the scene before
anything is disturbed.
 Obtaining CCTV footage of the incident if available.
 Examine the condition of the forklift and determine its speed at the time of the accident.
 Check whether the load being carried was safe, within the SWL of the FLT, and check
any possible visibility issues caused by the load.
 Find out the reasons for the oil spillage. Check what emergency spillage procedures are
in place, and find out why these were not followed.
 Check the competence of the FLT driver, when they were last trained, and also any
issues with their health surveillance (eyesight etc.).
 Check possible environmental factors like lighting issues causing poor visibility or glare,
noise which could be a possible distraction, or overprotection of hearing protection,
condition of the floor and whether this is inherently slippery.
 Interview witnesses, the driver, reception workers, and even the visitor.
 Obtain the procedures for how visitors are controlled, find out why the visitor was
unescorted.

c) The investigation reveals there have been previous skidding incidents which had
not been reported and the company therefore decides to introduce formal system for
reporting 'near-miss' incidents. Outline the factors that should be considered when
developing and implementing such a system. (8)

- Clearly defining "near-miss" so everyone knows what should be reported and what should
not.
- Consulting with employees and representatives on the proposed system and how it should
work, and how to best achieve the desired result.
- Arranging for training to be delivered to all employees, providing supplementary information
and publicity to remind them.
- Keep the reporting method simple, and the forms easy to understand. Clarity of reporting
formats e.g. online, paper etc. Location of forms.
- Clear reporting lines i.e. who should they be reported to.
- Introduce and practise a no blame culture. No penalties for reporting a near miss or being
involved in one.
- Ensure there is a system in place to investigate the near misses e.g. clear responsibilities
on who does the investigation, ensure they have the time/skills/resources to investigate, and
management is committed to fixing the root causes.
- Report findings of investigations back to the person who reported the near miss
- Collect the data and use it to identify trends. Monitor and review this on a regular basis.
Q. Train drivers may spend long periods of time in the cab of a train and may be
susceptible to loss of alertness. This can increase the risk of human error.
a) Describe, with examples, a range of factors which may influence the degree of
alertness of train drivers.

Generally there are 3 things which will affect alertness in train drivers:
- Fatigue
- Health
- Environment
If you structure your answer around these 3 things, then you can't go far wrong.
Here are the points I would make in part a) Please note I have NOT described these fully.
- Drivers could be fatigued due to the design of shift systems and the rotations (moving from
days to nights and back to days again etc.).
- Insufficient recovery periods between shifts. Not enough sleep.
- Shifts are excessively long, with possibly inadequate breaks.
- The driver may have non work activities between shifts which prevents him from sleeping,
possibly maybe a family/baby/2nd job/hobbies etc.
- Alertness can be reduced due to medical conditions (insomnia, epilepsy, diabetes, strokes,
heart attacks).
- The driver may have taken alcohol, or drugs. They may be on medication which makes
them drowsy.
- They may be distracted by thinking about personal issues and problems, or be distracted by
a stressful situation (financial, domestic, legal, employment etc.)
- Temperature too warm, not enough ventilation, makes them drowsy.
- Too much noise, can be distracting. Mobile telephones.
- Uncomfortable seating in the cabin, too much time stretching and shifting position. People
whose bodies are aching will be distracted by the aches.
- Driving repeatedly on the same route, especially for long periods, will make you less alert.
Those of us who drive cars on long highways/motorways regularly have experienced this! If
the new driver is new then actually they will be MORE alert. They lack experience and may
be a little nervous taking the train out for the first time alone.
- Spending long periods of time alone increases the likelihood of being distracted by our own
thoughts. While constant interaction with colleagues is not desirable either, occasional
interactions will keep the driver engaged with his duties.

b) Outline a range of practical measures that could reduce the risk of lack of alertness
in train drivers. (5)
- Introduction of a shift system, with rules on the maximum shift lengths (12 hours being a
maximum), provision of regular breaks, and sufficient recovery times between shifts. Pay
special attention to night shifts where alertness is lower.
- Ensure sufficient transition time between moving from day to night shifts, and night to day
shifts. Usually at least 48 to 72 hours.
- Pre-employment medical examinations to check for any existing health conditions which
may affect alertness, eye sight tests, general fitness health etc. Regular health screening
throughout employment.
- Alcohol and substance use policy, with provision for random testing. Rules on medication
and encouraging drivers to report the prescription of medication which may affect at no
penalty.
- Design of the cabin:
- Air conditioning to keep it at a comfortable temperature. Not so warm they get drowsy, not
so cold they get distracted.
- Noise insulated cabin to reduce the amount of noise.
- Adjustable seating, enough space to move.
 - Finally, variations in the routes they drive, to ensure they do not get bored or complacent.
Variety also helps people stay alert.

Q. Outline content that could be included in an accident reporting training course for all workers
within an organisation. (10)

1. Firstly you need to ensure workers have a clear understanding and definition of what an accident is and
the reasons why it is important to report all accidents, even minor accidents and near misses that could
have lead to a serious accident.
2. Ensure they are aware of the benefits of reporting accidents, that it will benefit everyone if the root
causes can be established and future accidents prevented. There should be emphasis on the “no blame” so
that workers will not be scared to report accidents for fear of retribution or “getting into trouble”
3. Provide information on the procedure for accident reporting whether it will be by phone call, email or on
a form that they need to fill in and submit. Who they should report too, usually their direct supervisor but
also additional people to inform if he is not available like the Health and Safety representative. If forms are
to be filled in, ensure the workers where to find the forms, know what information should be filled in on
the form and where it should be submitted.
4. The workers need to be informed of the emergency telephone numbers to phone in the event of a serious
accident or fire outbreak. The telephone numbers should be posted on signs around the workplace and can
also be printed on the back of their access cards for instance. They need to know what details to give to the
call taker like the address of the accident, people involved and any important information that the rescue
team might need like a chemical spill etc
5. Workers should have access and knowledge of the Emergency response procedures for their department
so they can know exactly what to do in an emergency and who to report to or phone.

6. Inform workers of the consequences of failing to report an accident but focus on what the event will
cause and not on any punishment or blame for it.
(Include below listed topics)
Definition of accident/near miss
Explanation of the legal requirements on accident reporting. External reporting requirements
Commitment of management to accident reporting
Benefits of reporting, opportunities to learn lessons
Lack of blame culture, purpose is to identify causes, not blame.
The links to risk assessment reviews
The report will be used to start an investigation.
The methods of reporting/format i.e. paper form, online etc.
Whom report to
Internal reporting requirements i.e. company policy
The reporting procedure
How to fill in the form
Consequences of not reporting

Q. Outline a range of organisational issues that may act as barriers to the improvement of the safety
culture of an organisation. (8)

 The lack of involvement and commitment for senior management and them not leading by
example. This shows the workforce that management does not value health and safety in the
organisation or that they place other factors like production ahead of health and safety. A lack of
management commitment will lead to the workforce not trusting them.
 The lack of resources allocated to Health and Safety seeing as it is expensive to implement control
of hazards in the workplace.
 The history of a poor health and safety culture in the organisation leading workers to believe that
working unsafely is the norm and a history of poor employee / industrial relationships.
  No appointment of a Health and Safety advisor, committee or regular toolbox safety talks, safety
tours or workplace inspections. This means that Health and safety issues are not monitored and
that hazards are not identified.
 A lack of consultation with the workforce. Consulting with the workforce can lead to hazard
identification and the workers can share their knowledge and expertise in work processes to
reduce the risk of injuries or loss.
 The lack of Health and Safety policies, standard operating procedures, safe systems of work and
job specific safety analysis with the implementation of permit to work systems for hazardous jobs.
 High staff turnover that leads to loss of competent and knowledgable workers especially if they
were involved in health and safety rolls. It also compromises the ability of workers to form
relationships and commit to the culture together.

 No procedures in place to deal with organisational changes leading to insecurity and fear of the
workforce for losing their jobs or redundancy. The channels of reporting of health and safety
issues may also be lost during the change process or the importance of health and safety not
uphold during this time. Redundancy processes may lead workers to believe that the organisation
does not value it employees.
 Loss of bonuses or incentives or a reduction in salary will cause workforce to become negative to all
aspects of the organisation including Health and safety.
 Incentive or bonus schemes could have the opposite effect by creating competition to finish a job
quicker thereby leading to the worker taking chances or cutting corners with increased hazards
and risks.
 Cultural differences, language barriers and social differences leading to workers not being able to
form a combined outlook for health and safety issues.
 Failing to appoint safety representatives and employee representatives with the result that the
worker’s concerns and complaints are not carried over to management and they are not resolved.
 Having a blame culture in the organisation that will cause workers to be scared of reporting health
and safety issues for fear that they will be blamed for it.

Q. A low pressure storage vessel is connected via pipework to a manufacturing plant that could, in the
event of malfunction, generate a pressure great enough to rupture the vessel. To prevent this, a pressure
detector is installed in the low pressure storage vessel. If pressure starts to rise above an acceptable level
the detector activates a valve control system. This in turn closes the inlet valve to the vessel isolating it
from excessive pressure. It has been estimated that pressure great enough to rupture the low pressure
storage vessel would be generated once every four years on average (ie 0.25 failures per year).
Figures for the probability of successful operation of the system components are given below:

Pressure detector : 0.95

Valve control system : 0.99
Inlet valve : 0.8

Construct an event tree for the protective system described above AND use it to calculate the overall
probability of rupture storage vessel caused by the failure of the protective system. (10)
Answer
Every single student got the correct result to this question, which is fantastic.
However, not every single student would have got 10 out of 10. Some missed very easy opportunities to
demonstrate further knowledge in showing their workings out, as a result they will have limited themselves
to 8 or 9 marks only.
Here is what the Tree should look like approximately.
Most of the workings out have been shown. But there is something missing. We also need to show how to
calculate the failures of each component. I know that this is obvious, but there is a mark for showing this.
Failure of the detector: 1 - 0.95 = 0.05
Failure of the valve control system: 1 - 0.99 = 0.01
Failure of the valve: 1 - 0.8 = 0.2
To get the result you add up all of the failures:
F1 + F2 + F3 = 0.047025 + 0.002375 + 0.0125 = 0. 0619
To express this in years: 1 divided by 0.0619 = 1 event every 16.15 years.
You would still get marks for rounding up or down, so results saying 16 years would normally be
acceptable provided you've demonstrated your understanding with the workings out.
Remember though, it is good to check that your result is correct by adding all of the numbers together.
0.0619 + 0.1881 + 0.75 = 1