International Diploma in NEBOSH UNIT ONE REVISION Summary of Unit One

International diploma in NEBOSH UNIT ONE REVISION
Summary of unit one

1.The following key areas will help to explain the moral arguments for managing health and safety.
o The concept of reasonable care.
o The unacceptability of putting the health and safety of people at risk.
o Society's attitude to moral obligations.
o National accident, incident and ill-health statistics.
o The effect of size of an organisation on accident and incident rates.
2. Explain the Principle of Self-Regulation.

Industry self-regulation is the process by which an organisation monitors its own adherence to legal, ethical, or
safety standards, rather than have an outside
3. Outline the economic reasons for managing health and safety effectively in a medium organisation.
o The costs associated with accidents, incidents and ill-health and their impact on society and on the
organisation.
o The insured and uninsured costs.
o The financial benefits of effective health and safety management.
4. Outline the Uninsured costs can that organisation can incur indirectly from an incidence
o Lost time.
o Sick pay.
o Damage or loss of product and raw materials.
o Repairs to plant and equipment.
o Extra wages, overtime working and temporary labour.
o Production delays.
o Investigation time.
o Fines.
o Loss of contracts and sales.

o Loss of reputation amongst customers, suppliers and the public.
pg. 1 califrancis254@gmail dipnebosh 2019

Summary of unit one
o Legal costs.
o Increased difficulty in recruiting workers.
o Increase in insurance premiums.

o Payment of insurance excess.
o Clean up and recovery operations.

o Withdrawal of credit from banks and suppliers.
5. outline the how Addressing health and safety should be considered as a legal burden offers significant
opportunities and benefit the organisation positively.
o Reduced insurance premiums due to being considered a lower risk by the insurance company.
o No sick pay for injured or ill workers.

o Lower employee absence and turnover rates, leading to higher levels of productivity, and reduced costs
for recruitment and training.

o Reduced threat of legal action, therefore fewer compensation claims (leading to reduced insurance
premiums) and less risk of fines and legal costs.
o Improved reputation among suppliers and partners.
o Better reputation for corporate responsibility among investors, customers and communities leading to
numerous benefits such as increased investment, higher sales, and increased co-operation from local
government and the community.
o Increased productivity, partly due to less time wasted because of accidents and investigations, and
partly because employees are healthier, happier and better motivated.
6. Ouline the Legal Reason for managing H&S in a medium organisation

o Preventive Aspect of the law.
Enforcement agencies and their officers have the power to issue enforcement
notices for legal breaches

o Punitive aspect of the law.
The type of punishment can vary, and can include:
o Monetary fines.
o Imprisonment of individuals.

Summary of unit one
o Forcing the organisation to advertise their wrongdoing in the media
o Disqualification of directors, preventing them from holding positions of responsibility.
o Injunctions, which are court orders to force a company to act.
o The compensatory effects of law.

Ouline Compensation is designed to compensate them for any financial losses, by the compensatory effect of
law:
o Earnings lost.
o Loss of future earnings.
o Cost of medical treatment.

o Loss of enjoyment of life and hobbies.
o Special compensation for severe injuries
o The principle of self-regulation.
7. Outline the societal factors which influence an organisation's health and safety standards and
priorities
o Economic climate, government policy and initiatives.
o Industry/business risk profile.

o Globalisation of business.Eg Influence of Global Corporations, Shifting Production to New Countries, Working
Patterns and Time Differences & migration.
o Migrant workers.
o Level of sickness absence.
o Societal expectations of equality i.e. adjustments for workers with disabilities
..
8.Outline the consequence Many companies take drastic measures and short-term savings the company

Summary of unit one
o Reduction in Health and Safety budgets, leading to fewer improvements and reduced levels of
monitoring.
o Reduction in numbers of qualified health and safety professionals.

o Reduction in the number of workers and operators, so fewer people are available to do the same job.
This means that people must work harder and faster, leading to an increase in the number of errors,
shortcuts being taken, rules broken, along with an increase in stress and fatigue which can lead to
further mistakes.
o The reduction in staffing levels also leads to people working longer hours and taking fewer breaks, rest
days, and holidays. This leads to increased levels of fatigue and stress.
o The increase in working hours increases exposure to many hazards, and increases the risk of injury and
ill-health. For example, a worker who spends 50% more time exposed to a chemical hazard is more
likely to develop an ill-health condition.
o Reduction in health and safety training provision, due to budgets being cut or due to non-availability of
people because they need to be at work.
o Less chance of capital expenditure requests being approved for safer equipment.
o Decreased levels of maintenance, increasing the likelihood of failure and breakdowns.
o With the potential for job losses, workers, and health and safety professionals, may feel pressurised to
ignore safety rules and not challenge safety breaches for fear of losing their jobs.
o Organisations may be tempted to take more risks by carrying out work or projects without spending
time and money on the correct safety precautions.
9. Outline the main health and safety difficulties when working with migrant workers are:
o Language and cultural differences can make it difficult to communicate effectively with other workers
and with supervisors, particularly in relation to their understanding of risk. Employers often have to
provide safety signs in multiple foreign languages to communicate safety rules. Translators may also
need to be provided in training sessions, whereas managers may need to be able to speak the language
of the workers to communicate clearly.
o Failure of employers to check on their skills for work and on their language skills.
o Their lack of knowledge on their rights and how to raise issues they may have.

Summary of unit one
o Migrant workers are unfamiliar with the local health and safety rules and practices, and therefore may
unintentionally break the rules unless they are well trained and supervised.
o Because migrant workers are often hard-working and keen to earn extra money, they may have a
tendency to take more risks.
10. Outline the uses of, and the reasons for, introducing a health and safety management system
11. Explain what is a Management System
is the framework of policies, processes, and procedures used to make sure that an
organisation can fulfil all tasks required to achieve its objective
12. outline the Reasons for the Introduction of Health and Safety Management Systems.
o Helping the organisation create a safer work environment.

o Reducing injuries and injury-related costs.
o By preventing injuries employers save money on medical expenses, the injured employee's wages,
insurance claim excesses, replacement labour and increased insurance premiums.
o Improved awareness of legal requirements decreases the likelihood of breaching any legal
requirements.
o If employees see that management is actively looking after their health and safety, relations and morale
will improve.
o The public sees that the organisation is taking a responsible attitude towards its employees.

Summary of unit one
o This improves its reputation and helps generate positive public relations..
o Reducing incidents and taking a consistent approach increases efficiency and productivity, thereby
reducing costs.
o Insurers will be confident that the risk is being managed, possibly leading to a reduction in insurance
premiums.
o Banks and investors will be more willing to finance the organisation
o Improving business opportunities.
13. outline the principles of a health and safety policy document
o It should provide a clear commitment of senior management to manage health and safety
o It should commit to compliance with health and safety law as a minimum.
o The complexity of the policy should be proportionate to the complexity and needs of the business.
o The policy should be clearly communicated to all workers..

o The policy should be up to date and relevant to the needs of the business. policy must be regularly
reviewed at least annually.
o The policy should be written in a language that is easy to understand.
o Monitoring systems should be defined in the policy to allow management to monitor whether the
policy is implemented, enforced, and effective.
o Sufficient resources are needed to implement the policy.
o Finally, it should make health and safety management an equal priority to other business functions such
as production, quality, and finance.
14. outline the objectives of a health and safety policy in a organization .
o To comply with legislation such as the ILO Recommendation R164, or local legislation.
o To ultimately avoid accidents and incidents of occupational ill-health.
o To set clear intentions and aims in relation to health and safety management
o To show leadership to the rest of the organisation, by making an explicit commitment to H&S.
o To allocate health and safety responsibilities to the different people in the organisation.
o To create clear communication lines, enabling effective reporting incidents.

Summary of unit one
o To detail the practical arrangements that are in place to manage health and safety
15. Outline the content of statement of intent in policy document HSMS demonstrating its
commitment.
o the prevention of occupational injuries and ill health
o Provide a procedural framework for setting health and safety objectives.

o Provide the resources, in time, money, equipment, and people.
o Treat health and safety legislation as a minimum standard.

o Consult and cooperate with workers.
o Carry out regular policy reviews and monitoring
16.outline the Typically in formation in the arrangements made in arrangement section
o Procedures for carrying out risk assessments.
o Arrangements for communicating and consulting on health and safety.

o Emergency procedures and first aid.
o Procedures for control of specific hazards (such as noise, vibration, hazardous substances, manual
handling, fire, work at height, machinery, electricity, etc.).
o Accident reporting and investigation procedures.

o Permit to work procedures.
o Maintenance procedures.
o Use of PPE.
o Procedures for control of contractors and visitors.

o Provision of welfare facilities.
o Monitoring procedures, including health and safety inspections and audits.
17. Outline how is safety policy communicated in HSMS.
o During induction training, or the first time visiting the company.
o Via procedures and manuals.

o When inviting contractors to tender for work.

Summary of unit one
o In job descriptions.
o Display on health and safety notice boards
o During safety talks and meetings.

o By senior management attendance at safety meetings who can verbally.
o Making the policy available on the company website and intranet.

o Emailing the policy to all employees.
o Including a summary of the policy in a letter to employees
18.OULINE The Key Components ELEMENTS of a Health and Safety Management System.
o Policy: a statement of commitment led by senior management.
o Planning: a plan for identifying hazards, assessing and controlling risks,.
o Organising: a definition of the organisational structure, allocation of health and safety responsibilities.
o Communication: from basic information and work procedures to the details of the system itself
o Consultation: the flow of information, an effective way is needed to access the knowledge and
expertise held by the workforce.
o Implementing and operating: putting management processes and plans in place and carrying out the
health and safety activities, from risk assessment to

o Measuring performance: from reactive data & active data on routine inspections.
o Corrective and preventive actions: an effective health and safety management system must have
methodical means that allows them to identify weaknesses, correct them and prevent recurrence.
o Management review: an evaluation of how appropriate the overall design and resourcing of the system
are, as well as its objectives,
o Continual improvement: at the heart of the system is a fundamental commitment to manage health
and safety risks
19. OUTLINE Benefits of ISO 45001 Occupational Health and Safety Management System.
o A framework to manage risks TO prevent work-related injury and ill-health to workers

o Assurance of conformance with its stated occupational health and safety policy.

Summary of unit one
o Occupational health and safety policies compatible with the strategic objectives
o Effective procedures for identifying hazards, controlling risks
o Continual evaluation, monitoring and improvement of occupational health and safety performance.
o Integration into the organisation's business processes of OHSMS
o Compliance with legal and other requirements e.g. industry guidance and best practice.
o Accreditation of the occupational health and safety management system by an external organisation.
o Improved organisational reputation in the business community.
o Improved ownership, morale and commitment of workers with a positive health and safety culture.
21.OUTLINE the element of the main sections of ISO 45001 in OHSMS.
o 1.0 Scope.
o 2.0 Normative references.
o 3.0 Terms and Definitions.

o 4.0 Context of the organisation.
o 5.0 Leadership and worker participation.
o 6.0 Planning.
o 7.0 Support.
o 8.0 Operation.
o 9.0 Performance evaluation.

o 10.0 Improvement.
22.OUTLINE THE BENEFITS OF Integration of Quality, Environmental, and OH&S Management

Systems
o The objectives and processes of all management systems are essentially the same.
o A well-planned IMS is likely to operate more cost-effectively.
o Integration should reduce duplication eg , record-keeping software, audits and paperwork).

o Reduce the risk that resolving problems in one discipline will create new ones in another.
o IMS reviews can help ensure each element develops at the same rate.
o It’s easier to bring together expertise in each discipline to address specific issues.

Summary of unit one
o An IMS will encourage resources utilisation that reflect the overall needs of the organisation
o A positive culture and strengths in one function may be carried over to the others.
o An IMS provides the scope to integrate other risk areas such as security or product safety.
23. OUTLINE THE BENEFITS FOR NOT Integration of Quality, Environmental, and OH&S
Management Systems
o The existing systems may simply work well..
o Relevant specialists can continue to concentrate solely on their core area of expertise.
o An IMS can become over-centralised and over-complex, and lack the capacity to consider local needs
and constraints.
o Employers and employees can see existing systems as excessively bureaucratic
o During the planning stages, there could be a procedural lapse when key staff are focusing on
integration instead of current systems.
o There may be differing levels of requirements needed across all systems which may lead to
unreasonable bureaucracy in some areas. .

o There may be distortions in the structure of the IMS components because health and safety and
environmental management are often underpinned by law.
o It’s possible that rivalries about the relative importance of disciplines and resource allocation
o Regulators and single-topic auditors may have difficulty evaluating their part of the IMS
o A negative culture or flaws in one system area may unwittingly be carried over to the others.
o External stakeholders may have a preference for separate systems
IA2 (Old IA8) Regulating Health and Safety 2017

1. OULINE HOW Legislation helps improve health and safety in the workplace
o Setting minimum standards of safety management.

o Creating a national regulator to enforce these standards.

Summary of unit one
o Providing sufficient numbers of trained inspectors to inspect workplaces and enforce the legislation.
o Giving employers clear direction on what standards must be complied with, therefore helping them
reduce injuries and cases of occupational illness.

o Provides a framework for the punishment of non-compliance with the standards.
o Applies to all workplaces, therefore should create a level playing field for all organisation.
o Prescriptive legislation provides specific rules that must be followed.
o Goal-setting legislation () sets out the goals to be achieved
2. OULINE Limitation of Legislation in health and safety in the workplace
o Legislation is outdated and doesn't address the social, economic and technological changes
o When legislation and standards address only specific categories eg factories &construction.
o Limited penalties are available for organisations who break the law, or penalties are miniscule
compared to the organisations' profits.
o Unions and workers are not always involved in the legislation and standard setting process.
o Much of the legislation deals with industrial safety and not occupational health.
3. Explain the following terms
a) Goal-Setting; does not specify the means of achieving compliance but sets goals that
allow alternative ways of achieving compliance, e.g. "People shall be prevented from falling
b) Prescriptive Legal; s down specific actions which must be taken in order to comply with
the legislation eg 6-12 months for inspection of lifting gears.
4 . Outline the benefits and limitation of goal setting in an organization
a) Benefits of goal-setting legislation
More flexibility in the way compliance may be achieved.
It is related to the actual risks and can apply to a wide variety of workplaces.
Much less likely to become out of date.

Summary of unit one
Limitations with goal setting legislation
o Organizations may not realize what is expected legislation may be open to wide interpretation.
o The duties it creates and standards required may be unclear until tested in a court of law.
o Can be difficult to enforce due to the differences in interpretation. The enforcement agency can argue
that there is non-compliance, and the organization can argue it has complied.
o Can require high levels of expertise to understand and interpret
b) Outline the benefits and limitation of prescriptive legislation in an organization.
Benefits of prescriptive legislation
o Makes the legal requirements clear and explicit.

o Relatively easy for enforcement agencies to determine compliance.
o Also very easy for organizations to understand what is expected of them.
o Does not require a high level of expertise to understand.

Limitations include:
o Extensive research required by those who draft and write the legislation.
o Time consuming consultation when aimed at specific industries.
o May be necessary to amend more frequently as it becomes outdated.
o Very inflexible.
o Sometimes the requirements can be inappropriate by requiring too high or low a standard.
o Does not take into account local risks.
o Can stifle innovation because new technologies
5. Define the following terms
a) Fault Liability.
This system puts the onus on the worker to prove, in a court, that the injury, illness or disease suffered, was
caused as a result of the negligence caused by another party, in this case the employer.
b) No Fault Liability.
The 'no fault' principle asserts that a person (employer) who causes loss or damage to another by his or her
fault should be required to compensate that person, without having to prove negligence.

Summary of unit one
6. Outline the limitations of fault liability systems:
o Can be very costly to defend cases.
o "No Win, No Fee" systems can encourage petty claims, at no risk to the claimant.
o Tendency to settle cases early to minimize cost, even if there is no or limited fault.
o Conflictual by nature. Can cause resentment against claimants.
o Very slow to proceed to court if the case is defended.
7. Outline the limitation and benefits of non-fault liability
Benefits of no fault liability
o More cost effective and quicker.
o More consistency in damages.

o Outcome is fairer ('fault' systems often fail because of failure to prove fault).
Limitations
o May result in employers with higher injury rates having to pay more into a no fault system.
o Could encourage more people to apply for compensation and create a claim culture.
8. Explain the following and give an example for each.
a) General Damages.
General damages, compensate the claimant for the non-monetary aspects of the specific harm suffered. eg
physical or emotional pain and suffering, loss of companionship, disfigurement, loss of
reputation, loss or impairment of mental or physical capacity, loss of enjoyment of life
b) Special Damages.
Special damages financially compensate the injured person for losses suffered due to the defendant's actions.
eg loss of wages, earning capacity, damage to equipment, belongings, and medical
expenses

Summary of unit one
c) Punitive Damages.
Punitive damages or exemplary damages are damages intended to reform or deter the defendant and others
from engaging in conduct similar to that which formed the basis of the lawsuit.
a) Laws of Contract.
A contract may be defined as: "an agreement between two or more parties to perform a service, provide a
product or commit to an act, and is enforceable by law."
b) Express Contracts.
In an express contract, the parties state the terms very clearly, either verbally or in writing, at the time of its
formation.
c) Implied Contracts.
An implied contract is almost the opposite of an express contract. An implied contract is an agreement created
by actions of the parties involved, but it is not written or spoken. Eg implied warranty
10. Outline Principles of Contract Law of a contract to be legally binding essential element.
An offer -simply a statement or other indication that the individual is prepared to enter
into a contract e.g. offered
Acceptance - simply some indication by the person receiving the offer that the offer is
accepted e.g. signature
Intention - create legal relations in contract law is aimed at separating out cases which are
not really appropriate for court action
Consideration - some benefit or advantage to the person making the offer and a
corresponding cost e.g. money
11. H&S requirement supplicated in contract
o Reference to the provision of a safe working environment, with safe means of access and egress.

Summary of unit one
o The provision of safe plant and equipment.
o The requirement to draw up emergency procedures to deal with unexpected emergencies.
o To provide any necessary information, instruction, and training.

o To ensure adequate welfare facilities are in place.
o The need to comply with all applicable health and safety procedures and rules.
o The need to report any incidents and accidents.
o The requirement to wear all necessary PPE.
o The requirement to cooperate with all health and safety instructions given by managers
12. OUTLINE the UN objectives
o Maintaining international peace and security.

o Promoting human rights.
o Fostering social and economic development.

o Protecting the environment.
o Providing humanitarian aid in cases of famine, natural disaster, and armed conflict.
13. Outline how the ILO can influence health and safety standards in the workplace in
different countries
o Creating International Labour Standards such as Conventions..

o Issuing Recommendations which provide further detail on the requirements of the Conventions.
o Monitoring countries' efforts to implement the treaty standards and requiring them to report.
o Providing technical assistance to member states when requested.

o Investigating complaints against member states for non-compliance with International Standards.
o By pursuing and promoting the ILO Decent Work Agenda, which aims to improve employment
creation, social protection, rights at work, and social dialogue.
o By applying international pressure to adopt ILO standards.
o By working with human rights pressure groups in member states to raise awareness of issue

Summary of unit one
14. a) Outline how paragraph 3 of R164 details the scope that should be considered when
implementing the national policy.
o Design, siting, structural features, installation, maintenance, repair and alteration of workplaces and
means of access thereto and egress there from.
o Lighting, ventilation, order and cleanliness of workplaces.

o Temperature, humidity and movement of air in the workplace.
o Prevention of harmful physical or mental stress due to conditions of work.
o Use of electricity.
o Manufacture, packing, labelling, transport, storage and use of dangerous substances and agents,
disposal of their wastes and residues, and, as appropriate, their replacement by other substances or
agents which are not dangerous or which are less dangerous.
o Radiation protection.
o Prevention and control of, and protection against, occupational hazards due to noise and vibration.
o Design, manufacture, supply, use, maintenance and testing of personal protective equipment and
protective clothing.
o Sanitary installations, washing facilities, facilities for changing and storing clothes, supply of drinking
water, and any other welfare facilities connected with occupational safety and health.
o First-aid treatment.
o Establishment of emergency plans.
b) Outline the paragraph 16 of R164 provides recommendations on role and responsibilities

of workers
o Take reasonable care for their own safety and that of other persons who may be affected by their acts or
omissions at work.
o Comply with instructions given for their own safety and health and those of others.
o Comply with safety and health procedures.
o Use safety devices and protective equipment correctly and do not render them inoperative.
o Report to their immediate supervisor any situation which they have reason to believe could present a
hazard.
o Report any accident or injury to health which happens during work

Summary of unit one
15. Explain the role of self-regulation has in securing common health and safety standards
in a global economy.
16. Outline how the external Influential Parties and Their Role in Influencing Health and
Safety Performance.
Insurance Companies:
o Expected to pay out large sums of money if an insured event occurs.

Regulators:
o Need to be seen as effective if their funding and existence is to continue.

Neighbours:
o Properties can be damaged or destroyed.

Summary of unit one
o Domestic neighbours living next to a high risk facility can also suffer from increases in their insurance
premiums and a decreasing value of their homes.
o Commercial neighbours can see their operations being disrupted or destroyed.

Shareholders and Investors:
o Value of shares can decrease.
o Dividend payment can reduce or stop.

o If the business closes due to a major health and safety incident, then all of the money invested is lot.
17. a) outline the role of Trade Unions influence health and safety .
o Being involved in consultation with enforcement agencies prior to the introduction of new health and
safety legislation.
o Participate in working groups with employers and governments to find solutions to problems.
o Lobby government to influence legislation.

o Provide health and safety courses for members (for example: safety representative training).
o Publicise health and safety issues for members.
b)outline the role trade associations influence health and safety performance .
o Producing industry codes of practice which set out what is considered to be the industry best practice
on managing certain hazards and risks. For example, the IAOGP

o Accrediting or delivering industry training. For example, IPAF
o Sharing technical and safety information between businesses.

o Providing a forum for industry discussion between members.
o Promoting best practice in design and safety within the industry.
c) Outline the role of IOSH influence health and safety performance
o Petitioning governments for improvements or to raise awareness of issues.

o Advising policymakers at high levels of government.
o Commissioning research and setting standards.

Summary of unit one
o Running high-profile campaigns to promote awareness of the issues that affect safety, health and
wellbeing at work – from the causes of cancer to the hazards of dust.
o Providing accredited and relevant training for employees and managers.

o Running a membership programme for health and safety professionals, and admitting experienced and
competent professionals as 'Chartered Members'.

o Requiring members to undergo frequent Continuing Professional Development (CPD) so they maintain
and improve their skills and knowledge.
o Publishing monthly magazines and newsletters to members, delivering the latest health and safety news
18.outline how Organisations who cooperate and compare their performance will benefits:
o Increased confidence when unconfirmed assumptions on good performance are confirmed.

o Can help identify safety problems.
o Helps to prioritise possible improvements.

o Can help change the organisation's thinking from "What has gone wrong?" to "What can be done to
prevent things going wrong in future?"
o Creates a sense of competitiveness and a desire to improve.
o Challenges employees to work 'smarter' instead of just 'harder
19. a) Explain the meaning of Self-Regulation.

Self-regulation can be defined as “a regulatory process whereby an industry-level organisation , as opposed to
a governmental organisation, sets and enforces rules and standards relating to the conduct of firms in the
industry
b) outline the benefits and limitation of self-regulation in an oraganisation.
benefits
o Resources are not wasted on irrelevant health and safety issues.
o Health and safety standards are applied consistently across different countries.
o Standards are not linked to the legal requirements. Government enforcement agencies cannot act across
borders,.
o Since the standards are usually at a higher standard, often best practice, than basic legal compliance,.

Summary of unit one
o The standards are developed by those who are directly involved in managing the risks and understand
the issues better..
o Since self-regulation is developed by those directly involved, this generates a sense of ownership of the
standards.
o Industry standards are easier and quicker to update than legislation.

o Compliance with industry standards usually offers a quicker and cheaper means of solving problems
and addressing health and safety issues,
o efficiency and maximum performance with minimum resources.

o An industry will often harmonise its standards across businesses.
o workers will be familiar with safety practices even if they change organisations.
The limitations of self-regulation
o There is not always an industry or 'umbrella' standard to strive for.

o Without the threat of legal enforcement, not everyone in the organisation may follow the internal
standard..
o Without external government regulation on specific risks, some health and safety issues may be missed.
o Self-regulation has an inherent conflict of interest. The organisation may put its own interests ahead of
worker or public safety.

o If the organisation sets and monitors its own standards, then the standards may be too low, or
compliance against these may not be taken seriously.

o It can create difficulties when working with other organisations if they use different safety standards.
o Internal standards are more difficult to audit. It is not always possible to obtain 3rd party accreditation
unless it is an industry wide standard.
o Stakeholders do not always value a self-regulatory model, due to the potential for non-compliance,
conflict of interest,.
o The public is particularly skeptical of self-regulation, especially in industries where the interests of the
industry and society do not align.
20. Outline how Internal Rules and Procedures Regulate Health and Safety Performance.
o Leaders must take seriously their responsibility for the establishment of a positive prevention culture.

Summary of unit one
o Leaders should be seen to prioritise health and safety policies above other corporate objectives
o Health and safety measures can only deliver to their full potential if they have the undisputed
commitment of an organisation’s board and senior management..

o Good, regular, multi-level communication is essential to the delivery of improvements in health and
safety.
o Leaders should show they value their employees, and promote active worker participation in the
development and implementation of health and safety measures.
o Reward of safe and healthy behaviours, and consistent decision making
IA3 Loss Causation and Incident Investigation 2017.
1. EXPLAIN THE MEANING OF THE FOLLOWING TERMS IN TERM OF ACCIDENT
o Accident: an event that results in injury or ill health
o Near miss: an event not causing harm, but has the potential to cause injury
or ill health.
o Undesired circumstance: a set of conditions or circumstances that have the
potential to cause injury or ill health, e.g. untrained nurses handling heavy
patients.
o Damage only: damage to property, equipment, the environment or
production losses. Could also have been a near miss if someone nearby
could have been injured.
o Immediate cause: the most obvious reason why an adverse event happens, e.g. not
wearing the required PPE. There may be several immediate causes identified in any
one adverse event.
Underlying cause: the less obvious 'system' or 'organizational' reason for an adverse
event happening, e.g. replacement PPE was not available.

Summary of unit one
Root cause: an initiating event or failing from which all other causes or failings spring. Root causes are
generally management, planning or organisational failings, e.g. no system to purchase more PPE
2. outline the limitation of ratio theory of triangle of accident according to birds theory.
 Near-misses may also be under-reported compared to other organization

 A near-miss may mean different things to different people. For example, an office
employee who enters a production area.
 may not necessarily show the extent of the loss to the organisation. For example,
the 'property damage
 no universally agreed definitions of each subset of accident type. For example,
some triangles may refer to Lost Time Accidents, whilst others refer to Major
Injuries.
 Statistical analysis of loss events relies on large numbers, comparable work, and
comparable worker skills over the measured time frame.
 Smaller organizations will lack the large volume of incidents required to create a
meaningful ratio.
3. Outline the limitations of Domino Theory:
o The original model focused too much on the individual and the unsafe act.
o The model itself is simplistic
o The model is very reactive in its use.
4Define the following terms and give examples.

a) An unsafe
act may be defined as "the performance of a task in such a manner as to threaten the
health and safety of workers". It is often contrary to a safety procedure.
Examples

Summary of unit one
o Unauthorised use or operation of equipment.
o Removing or making safety devices inoperative.
o Using defective tools or equipment.
o Working at height without fall protection.
o Using tools or equipment in an unsafe manner.
o Riding on hazardous moving equipment.
o Engaging in horseplay, which is distracting and sometimes dangerous.
o Failure to wear personal protective equipment.

b)Unsafe conditions
May be defined as conditions in the workplace that are likely to cause property damage, ill
health or injury.
Examples
o Lack of adequate guards or safety devices.
o Lack of adequate warning systems (e.g. fire alarms, etc.).
o Poor housekeeping (causing slip and trip hazards).
o Protruding object hazards.
o Hazardous atmospheric conditions (e.g. ice, snow, rain, heat, sun).
o Defective tools and equipment.
o Inadequate lighting and heating.
c) root Causes.
Root causes are much deeper and rooted in problems within management, planning, and
organisational culture. Examples of root causes
o Production pressures leading to workers and managers taking shortcuts in safety
procedures.
o No consideration given to health and safety in scheduling production or deliveries.

Summary of unit one
o Lack of resources or commitment to safety by management.
o Lack of supervision, or a culture of tolerating unacceptable safety behaviours.
o Lack of safe working practices tolerated and condoned by all.
o Failure to risk assess new or changed activities or equipment,
o Mixed messages (actions and behaviour contradict verbal commitment to safety).
o Lack of procedures, or procedures not implemented, maintained or followed.
o Equipment not maintained adequately due to lack of time, resources
o Previous near-misses not reported as not seen as important.
o Blame culture leading to investigations focusing on the fault of people
o Poor communication or working relationships between departments
o Complacency amongst the workforce.
5. Explain the following terms and give an example in each

a) Active Failures.
The unsafe acts directly linked to an accident are known as active failures. Examples of
active failures include human errors, mistakes and rule breaking.
b)Latent Failures.
Latent failures are characteristically failures in the health and safety management system
such as the design, implementation and monitoring aspects.
Examples of latent failures
o Poor equipment/plant design.
o Inadequate supervision.
o Ineffective training.

Summary of unit one
o Insufficient resources.
6. Explain the meaning of fault event analysis and its purpose.
A method for representing the logical combinations of various system states which lead
to a particular outcome.
Purpose of the fault tree analysis is to help identify potential causes of system failures
before the failures occur.
a)Accident and Incident Frequency Rate.

Frequency rates are the accident and incident rates compared with time, and is calculated as:
(Total number of accidents / Total number of man hours worked) x 1,000,000.
b)Accident and Incident Incidence Rate.

Incidence rates are the rate of accidents an organisation has over a period of time. Calculated as:
(Total number of accidents / Average number of persons employed) x 100,000.
c)Accident and Incident Severity Rate.

Provides data on the average days lost due to accidents in relation to the number of hours worked
in a period of time. Calculated as:
(Total number of days lost / Total number of man hours worked in the period) x 1,000.
The figure may be affected by a number of factors, including how inclined workers are to take
time off after an injury. Additionally, a fatality is not reflected in a severity rate calculation.
d)Mean Duration Rate.

This simply calculates the average days lost per accident in a period of time:
Total number of days lost / Total number of accidents.
e) Ill-Health Prevalence Rate.

The estimated prevalence is the estimated number of people with a work-related illness at any
time during the 12-month reference perio

Summary of unit one
7.Ouline Reasons for carrying out incident investigations
o In order to fulfil any legal (reporting) requirement.
o To determine whether the organisation has broken national laws.
o In order to identify the immediate and root causes, in order that action can be taken to
prevent recurrence.
o As a means of information and data gathering, in order to identify patterns and trends.
o To improve employee morale by demonstrating concern.
o To establish costs, in order to demonstrate to management, the benefits of good health
and safety standards.
o It may be required by the insurers of the organisation
8. Outline how Information that can be gathered
o Observations.
o Measurements.
o Experiences.
o Photographs.
o Permits to work.
o Environmental conditions.
o Check sheets
9.Outline the benefits of carrying out an investigation

o Prevention of recurrence.
o Improved worker morale.
o Management skills development.
10.outline HSG245 offers guidance on the basic incident investigation process

o Step 1: Gather the information.
o Step 2: Analyse the information. Determine the Immediate and Root causes.
o Step 3: Identify suitable risk control measures.
o Step 4: Develop an action plan, and implement
11. outline Relevant sources of information used during investagation of accident :
o Witness statements.
o Risk assessments.
o Permits to Work.
o Safe Systems of Work.
o Maintenance records.

Summary of unit one
o Training records.
o Medical records.
o Photographs.
o CCTV.
o Computer print outs.
o Log book entries.
o Audits, inspection reports.
o Physical evidence from the scene.
o Measurements.
12outline how Interview Preparation is doing to ensure is efficient and sufficient

.
o Witnesses should be interviewed as soon as possible after the event to minimise lapses
of memory.
o However, in some cases witnesses may be very shocked and traumatised after a serious
accident. In this case, it is better to wait a short while for them to calm down.
o Witnesses may be unavailable due to shift patterns or work commitments. Therefore, it
may be necessary to arrange for other persons to cover their work whilst they take part in
the interview.
o The interview should be conducted in private, in a room without any interruptions.
o Only one person should be interviewed at a time.
o If the witness would like to have a second person present with them
13. explain the meaning of root causes and give examples.

root cause is "the most basic cause (or causes) that can reasonably be identified that
management has control to fix and, when fixed, will prevent the problem's recurrence."
Examples of root causes may
o Lack of management commitment to health and safety eg lack of resources
o Lack of or poor communication between management and the workforce.
o Inadequate training procedures.
o Inadequate maintenance arrangements, or lack of maintenance resources.
o Inadequate risk assessments,
o Inadequate systems of work.
o Inadequate permit-to-work systems.
o Inadequate isolation and lockout tagout procedures.
o Inadequate supervision and lack of enforcement of safety rules.
o Poor job design or layout of the workplace.
o Poor design of the equipment, difficult to use.

Summary of unit one
o Inadequate monitoring procedures.
o Physical or mental stress due to excessive work demands.
o Poor safety culture and general acceptance of low standards.
Element IA4: Measuring and Reviewing Health and Safety Performance.
1.a) what is the meaning of Performance measurement.

is the process of collecting, analysing and/or reporting information regarding the
performance of an individual, group, organisation, system .
b) outline the Active Performance Measurement
o Inspections of premises, plant and equipment.

o Thorough examinations and functionality check for key pieces of equipment and plant e.
o Health surveillance to identify early signs of ill-health
c) outline the reactive performance measurement
o Accidents, incidents (such as dangerous occurrences and near misses).

o Cases of ill health and sickness absence.
o Civil claims.
o Enforcement action taken against the organisation.
o Complaints from workers about poor working conditions
3. The Meaning of Key Performance Indicators and their Role in Setting Business Objectives
a measurable value that demonstrates how effectively a company is achieving key
business objectives .
Cascading down objectives means that the organisation will set its own organisation wide
objectives, and then create aligned objectives for each department, and possibly even for
each individual.
b) Outline the Examples of leading indicators that are used to measure H&S performance.
o The number of managers who have completed suitable health and safety training.
o Percentage of workers with adequate training.
o Percentage of management meetings that had health and safety on the agenda.
o Percentage of management-worker meetings which discuss health and safety.
o Number of management visits to the shop floor where health and safety is addressed.
o Percentage of business partners (suppliers, contractors, etc.) evaluated and selected on
the basis of their safety performance.
o Number of workplace inspections carried out in a period.

Summary of unit one
o Frequency of (observed) (un)safe behaviour.
o Number of health and safety audits performed.
o Percentage of safety-related actions and activities that are finished on time.
o Percentage of suggestions or complaints where feedback is given to those reporting
within two weeks.
o Percentage of pre-use inspections carried out on equipment.
o Safety climate (survey).
c) outline the Examples of positive lagging indicators are used to measure H&S
performance.
o The percentage of completed productive planned work days
o The number of hours worked (by the total work force) without lost time injury.
o The number of working days since the last accident.
o The percentage of employees without early signs of ill-health
o Employee satisfaction (survey).
4. outline the Active monitoring techniques
o Audits - a structured process of collecting information on the efficiency, effectiveness and

reliability of a health and safety management system.
o Periodic examination of documents to check that systems promote the health and safety culture.
o Systematic workplace inspections or safety tours using checklists.
o Inspections to check safety related parts of specific machinery and plant are fitted and in good
condition.
o Safety sampling.
o Safety surveys.
o Environmental sampling: measuring exposure to chemical, biological or physical agents
o Behaviour sampling: measuring employees’ behaviour to identify unsafe work practices that
might require correction.
o Benchmarking against good safety and health practices in other organisations.
o Regularly reporting on health and safety performance to senior management
d) outline the data considered by active monitoring

Summary of unit one
Number and effectiveness of senior managers' safety tour.
o Number of workers' suggestions for health and safety improvements.
o Worker attitudes to risks and risk controls.
o Worker understanding of risks and risk controls.
o Frequency of health and safety audits.
o Time taken to implement health and safety audit recommendations, and other actions.
o Frequency and effectiveness of health and safety committee meetings.
o Frequency and effectiveness of health and safety worker briefings, such as toolbox
talks.
o Reports from occupational hygienists, or health and safety specialists.
o Time taken to take action on complaints or suggestions.
o Health surveillance reports.
o Personal exposure sampling reports.
o Workplace exposure levels (noise, dust, fumes, etc.).
o Extent of use of personal protective equipment
o How well plans and objectives have been set and the level of achievement.
o How well management and workers understand the organisational commitment to health and
safety.
o The number of workers trained in health and safety.
o Effectiveness of health and safety training.
o Number of risk assessments completed as a proportion of those required.
o Extent of compliance with risk controls.
o Extent of compliance with legal requirements.
5. outline the objectives of reactive monitoring
o Measure the negative health and safety outcomes, such as incidents, accidents, ill-health,
damage-only incidents, complaints, claims, enforcement action, etc.
o Investigate and identify the immediate and underlying causes of accidents and incidents.
b) outline the event monitored in reactive in health and safety.
Injury accidents. eg , those resulting in lost time, minor physical injury.

o Dangerous occurrences.eg , damage to plant, equipment, or facilities, such as a crane collapsing.
o Damage only incidents. Eg , a collision between a barrier and a forklift.
o Near-misses. Eg an incident which could have injured someone, but did not.
o Ill-health. For example, carpal tunnel syndrome caused by repetitive actions.
o Sickness absence. both non-work-related and work-related absence.
o Complaints by the workforce about health symptoms, or poor working conditions.
o Complaints by the public. For example, about noise or dust levels.
o Enforcement action by the national enforcement agency, or criminal prosecution.

Summary of unit one
o Civil claims for compensation submitted by workers.
C) outline the Limitations of Reliance on Accident, Incident, and Ill-Health Data

positives:
o They are useful in measuring of performance e.g. a high accident rate is strong evidence
that health and safety is not being managed effectively.
o The data is relatively easy to collect.
o It is easily understood.
o It can assist in identifying trends.
o It can be used to benchmark performance between sites, departments, and other
organisations.
. Problems:
o Under-reporting of incidents. it can lead to such events not being reported in order to
‘maintain’ performance.
o Some events do not result in an injury and therefore these statistics could exclude other
incidents giving an inaccurate representation of how well the hazard is controlled.
o Injury rates often do not reflect the potential severity of an event, merely the
consequence
o There is not necessarily a relationship between ‘occupational’ injury statistics (e.g. slips,
trips and falls) and control of major accident hazards (e.g. loss of containment )
o Where injury rates are low, workers can become complacent and mistakenly believe that
the risk from the hazard is lower than it actually is.
o Injury statistics reflect outcomes not causes. They focus on the consequences and fail to
consider the causes of the accidents
o Some organisations have too few injury accidents or cases of work-related ill-health to
establish a reliable trend.
o Absences due to injury or work-related ill-health may be influenced by such issues as
poor morale, monotonous work, stressful working conditions, poor management and
employee relationships.
o Accidents are often under-reported but this can be improved through increased
workforce awareness and better reporting and recording systems.
o There can be a delay between safety and health management system failures and
harmful effects.
6. Explain the distinguish between various types of performance measure.

Active and reactive.
Active measures:
o Measure towards a known performance standard. What does 'good' look like?
o Measure how 'good' performance (i.e. compliance) is against a set standard.

Summary of unit one
o Focus on the positives and strengths of the system.
o Measure performance before an incident occurs.
o Have predictive and preventive use.
Reactive measures:
o Measure failures, such as incidents, accidents, near misses, and ill-health.
o Measure system failures, and non-compliance with performance standards.
o They focus on weaknesses and omissions.
o Can only be used after a failure has occurred
Objective and subjective.
Objective performance measures are independent of the observer and do not require
interpretation. These performance measurements often involve some sort of measurement
(for example: an employee is either wearing safety gloves or they are not).
Subjective performance measures reflect the opinions, feelings and impressions of the
observer. It will require some interpretation (for example: reviewing a risk assessment and
judging whether or not it is satisfactory
o Qualitative and quantitative.
Qualitative measures:
o Can observe and describe data, but cannot measure it numerically.
o Use subjective, opinion based, comparisons. For example, they can rate the performance
in different areas as "high", "medium", or "low". Or as "good", "average", or "bad".
o Because the information is not quantified, the results become less precise.
Quantitative measures:
o Collect numerical and statistical data. For example, taking precise readings when
sampling for dust in a work environment.
7) explain the following terms

audit as “a structured process of collecting independent information on the efficiency,
effectiveness and reliability of the health and safety management system
Inspections usually involve the physical examination of the workplace, equipment, and
activities, with the purpose of identifying hazards or conditions, and deciding whether or
not they are satisfactorily controlled.
Safety tour walk around a work area, by the responsible manager (or sometimes
management team), looking at one or more aspects of the work areas activities.
safety sampling as: “the systematic sampling of particularly dangerous activities, processes
or areas.
Safety conversations are informal conversations that take place in the workplace. They are
usually carried out by visiting managers, worker representatives, or health and safety
personnel .

Summary of unit one
Benchmarking - A measurement of the quality of an organization's policies, products,
programs, strategies, etc. and their comparison with standard measurements .
8) outline the reasons for Carrying out Inspections in organisation .

o Carrying out inspections may be a legal requirement.
o Inspections are visible events that help maintain the focus of line-managers and workers
on ensuring good standards of health and safety
o They can be carried out after an incident, or suspected non-compliance.
o Trade unions and workers may request that an inspection is carried out in the workplace
or equipment.
o Third parties, such as insurers, may require the organisation to have a programme of
regular inspections to demonstrate good standards of safety are being maintained.
o Inspections help identify non-compliance with standards and remedy these before they
result in an accident.
o Inspections are useful after a change has been introduced in the workplace.
b) outline the Factors to Consider when Developing and Implementing an Inspection
Programme
An inspection programme should only be developed if senior management are

committed to providing the necessary time and resources.
o The type of work being carried out. It may be high risk, or low risk.
o The size and complexity of the operation. The larger the operation, the more areas and
equipment there is to inspect, which will take longer and require more people.
o The types of hazards. Some hazards can be identified visually with great ease
o The timing of the inspection. Certain activities may be regular or occasional.
o The past history of accidents and incidents will influence the regularity and frequency of
the inspections.
o Legislation may require specific types of inspections at specific intervals.
o The organisation may choose to comply with industry best practice or codes of practice.
o The organisation’s safety policy may specify a frequency of inspection.
o Some inspections may be notified in advance, but other inspections can be carried out
without warning. A combination of both approaches is most effective.
o The necessary competency of the inspection should be considered.
o Who will receive the findings of the inspection, and who is responsible for correcting any
faults.
o There should be a clear protocol of what to do if the inspector identifies a serious and
imminent threat to safety.
o The inspections will require resources in time, and possibly equipment.

Summary of unit one
o Inspectors often find it useful to use a checklist.
o Inspectors may need to comply with safety rules for their own safety
9. outline the objectives of a review

o To make judgements about the adequacy of health and safety performance.
o To obtain assurances that the system for managing health and safety is working.
o To ensure the law is complied with.
o To set standards of performance.
o To improve performance.
o To respond to change.
o To learn from experience.
IA5 (old IA4) The Assessment and Evaluation of Risk 2017.

1. Outline the External Sources of Information.
-OSHA- Provide advice and guidance to all organizations, To assist employers and workers tackle specific
hazards and reduce/prevent injuries
-HSE- authoritative source of national statistics on work-related death, injury and illness, documents
including the legal series of Approved Codes of Practice, guidance notes
-European Safety Agency, Research and analysis. Prevention. Raising awareness.
-International Labour Organization (ILO), its aim is to create awareness of health and safety issues and
consequences
- World Health Organization (WHO), provide information on health statistics, and recommendations on
how to remain healthy and well
-Professional and trade bodies. The UK Institution of Occupational Safety and Health (IOSH).
USA American Society of Safety Engineers (ASSE).
UK's Royal Society for the Prevention of Accidents (ROSPA).
British Safety Council (BSC).
- Manufacturers and Suppliers. Provide information on the hazards, the risks, and the safe methods of handling
and operation.

Summary of unit one
- Insurance Companies. Provide historical statistical data on loss events, which can help inform organisations about
the foreseeable risks
2. Outline the Uses and Limitations of External Information Sources.

Uses of external information sources include:
o They allow organisations to access the expertise of others (whether government bodies, trade or
professional organisations, or others).
o They provide a wealth of information for organisations who may have very little experience in risk
assessment.
o The information is usually up to date.
o Benchmarking with organisations with similar hazards and risks can be cost effective. One organisation’s
incident data can enable another organisation to evaluate its risks.
o The wealth of information could not possibly be amassed by just one company.
o It is time consuming and expensive to collect data, so having access to it externally is cost effective.
Its limitations include:
o The internet provides a wealth of information, but not all information is reliable. Some information on the net
is opinion and not fact. You need to check that information taken from the Internet is from a reliable source.
o There may be a tendency to apply information "generically" rather than looking at the specific situation
relevant to your own organisation.
o There is so much information available, that sifting out and deciding what is relevant to your organisation is
sometimes difficult. It is easy to be overwhelmed by the detail and sheer volume of information.
o Many sources of information are complex and sometimes quite detailed. It may also be in a format that
requires some ‘processing’ to obtain the required information. For example, tables of data which need
filtering to get relevant results.
o Although it saves resources in collecting your own data, it may require extensive resources to reach a
conclusion.

Summary of unit one
3. Outline the Internal Information Sources.
Damage, Injury and Ill-Health Data.
Gathered when carrying out investigations into the causes of injury and ill health,
together with sickness absence and health surveillance records, can provide useful input
to the risk assessment process.
Near Miss Information.
The first stage of risk assessment involves identifying. An effective near miss reporting
system can help to identify areas of "serious" potential for harm.
Maintenance Records.
Maintenance records include instances where equipment has failed or broken down, and
required repair, and also preventative maintenance to keep the equipment in good working
order.
Hazard Data Sheets.

When dealing with chemicals, the Hazard Data Sheets are a vital source of information.
Books, films, periodicals, etc.

Subscription services are available so as to build up a library of case studies and
information on specific topics i.e. manual handling good practice.
Interviews and discussions.

Talking to and interviewing workers or others with similar experience may throw up some
new information.
Direct observation.
By observing the work that is being carried out, we can learn and find less hazardous ways.
Work Study Techniques.

Such as sampling, surveys of the workforce, etc.
Manufacturers' Information.
Manufacturers' instructions should be sought when using or buying in new machinery, as
they will be able to provide a wealth of safety information..

Summary of unit one
Maintenance records.
Maintenance records will hold details of damage caused and also suggest possible reasons
as to why the damage occurred, and what needs to be done to prevent repetition of the
damage.
Maintenance records are a vital source of information and help to:
o Ensure proactive safety management takes place.
o Provide a source of information in the event of an accident.

Injury Data.
Injury Data information can be found when looking through the accident records of the
organisation.
Ill-Health Data.
Ill-health data may not be easy to access as there are rules and legal practice that covers
its use
Near-Miss Data.
A 'near-miss' as the name suggests is an unplanned event that could have resulted in
injury or property damage.
4. Outline the Uses and Limitations of Internal Information Sources.

The use of internal information sources include:
o It is relatively easy to access (and to clarify if necessary).
o It is highly relevant and will relate to the organisation's specific hazards and risks.
Limitations include:
o The information (such as accident data) may be statistically too small to be of any
use. One lost time accident in a year is not statistically representative of the risk.
o Record keeping (such as maintenance records) may be poor, or not up to date.
o Significant organisational changes (such as new process) may mean historical data
is of limited use.

Summary of unit one
o Data collection is time-consuming. Data can easily get misplaced, or damaged in
fire or flood incidents.
o Many accidents and incidents may go unreported if workers do not see the value in
reporting, or if management do not prioritise this.
4. Outline the methodology for THA
o Select the task to be analysed.
o Break the task down into a sequence of steps.
o Identify potential hazards at each step.
o Determine control measures to overcome the hazards.
o Implement the control measures.
o Monitor and review.
5. a) Outline the Key Steps in a Risk Assessment Process.
1. Identify the hazards.
2. Decide who might be harmed, and how.
3. Evaluate the risks, and decide on precautions.
4. Record your significant findings.
5. Review your assessment and update if necessary

b) What is risk assessment?
A risk assessment is a thorough review of how harm could be caused to people in the
workplace.
c) Outline the Factors Affecting Probability and Severity.
There is also the question of complacency. The more often someone is exposed to a
hazard, the more relaxed and complacent they can become. For example, many electricians
regularly receive electrical shocks, despite knowing better than anyone the risks of working
with electricity

Summary of unit one
The more frequently people are exposed to the hazard, the more likely a hazardous event
will occur. Firstly, this is a question of statistical probability.
The longer people are exposed to the hazard, the more likely they will suffer harm.
The more people exposed to the hazard, the more likely it is that a hazardous event will
occur.
Some people will have an inherent vulnerability to certain hazards.
The type of hazard, there is also the level of exposure. Most hazards will cause either
minor or major injuries, even death, depending on the level of exposure.
Some people will have an inherent vulnerability to certain hazards. This will increase the
probability of harm, and possibly the severity also. For example, some people have pre-
existing back problems, which means they are more likely to become injured by manual
handling activities
d) Outline why risk assessment was “suitable and sufficient”.

o A proper check was made.
o The risk assessors asked the opinion of those affected by the risks.
o The obvious and significant hazards have been identified and addressed, taking into account the numbers of
people involved.
o The precautions are reasonable.
o The remaining risk is low.
o Workers and their representative were involved in the risk assessment process.
e) What is Dynamic Risk Assessments?

The continuous assessment of risk in the rapidly changing circumstances of an operational incident, in order to
implement the control measures necessary to ensure an acceptable level of safety".
F) Outline the potential limitations of the risk assessment process.
o When decisions have been made and the risk assessment has been completed afterwards as a means of
justification.
o Using a generic assessment when a site-specific assessment is needed.
o When existing or relevant good practice is not considered as part of the risk assessment process.
o Carrying out a risk assessment using inappropriate good practice.
o Completing the risk assessment without consulting or including those involved in the process/activity.

Summary of unit one
o Ineffective use of consultants, who may give poor advice, or recommend additional controls because it gets
them more work rather than because they are needed.
o Failure to identify all hazards associated with an activity.
o Failure to fully consider all possible consequences of a risk.
o No consideration of what measures would be reasonable in the circumstances (i.e. no consideration of risk
versus cost).
o Attempting to use cost benefit analysis to argue that it is reasonable to reduce safety standards to save
costs.
o Not doing anything with the results of the assessment. Failure to action the recommendations.
6. Outline Principles of, and Differences between, Qualitative, Semi-Quantitative, and Quantitative Risk
Assessments.
A qualitative risk assessment does not attempt to quantify the risk. It describes the risk. The hazards are
identified and broad categories are used to describe the risk, such as High, Medium, or Low. Other
descriptions can be used, such as Unacceptable, Tolerable, etc. The HAZOP
Semi-Quantitative Risk Assessment.
To a large extent, a semi-quantitative risk is similar to a qualitative risk assessment. The main difference is
that it uses a numbering system to categorise the likelihood and severity, instead of using descriptors like
“Unlikely” or “Major Injury”
Quantitative Risk Assessments.
These risk assessments are for complex risks, and are based on equations using probabilities.
7. Outline the Organisational Arrangements for Implementing and Maintaining an Effective Risk
Assessment Programme.
The people responsible for carrying out the risk assessments.
How the risk assessment team will be put together.
The level of competence and training required to carry out a risk assessment.
The frequencies of review of risk assessments.
The areas and activities need to be risk assessed. It will also specify that temporary and non-routine activities
must be considered and assessed.
The tools in place to assist the team (checklists, access to expertise and advice, etc.).
The documents to be used.
The arrangements for reviewing the findings of the risk assessments.
The arrangements for agreeing corrective and improvement actions, along with the necessary authorisations and
assigning responsibilities for completion.
A mechanism to review the effectiveness of the actions.
Arrangements for the communication of the risk assessment findings and controls to all relevant people.
Clear authorisation for risk assessors to stop the job if there is a serious and imminent danger.
8. Outline when a risk assessment should be reviewed

A certain time has lapsed, and there is a suspicion the risk assessment may be out of date.
An incident or accident has occurred. This would indicate that either the controls have not been used, or the risk
assessment failed to correctly identify the risk and what controls were needed.
Changes have been made to the layout of the workplace. Or the location of the workplace changes.
New processes and/or activities have been introduced, or existing ones have been changed.
New technologies have been introduced.
A major change has occurred in the workforce. For example, a growing number of apprentices, or an influx of
migrant workers speaking a different language.
A third party requests it. For example, an enforcement agency may require risk assessments to be reviewed. Or
an insurance company auditor may recommend this.
There have been complaints from the workers or the Health and Safety Committee that the risk assessments are
no longer valid.
New information is discovered by the industry, showing some risks which were previously unknown.
Significant changes are made to working arrangements, such as shift patterns and break times.

Summary of unit one
9. what is safe system of work
A safe system of work (SSOW) is the way work should be done to minimise, so far as is
reasonably practicable, the safety risks.
10. Outline factors are likely to be considered when deciding whether a risk has been reduced as far as
reasonably practicable.
Health and safety guidelines and codes of practice.
Manufacturer's specifications and recommendations.
Industry practice.
International standards and laws.
Suggestions from advisory bodies.
Comparison with similar hazardous events in other industries.
If the cost to continue to reduce the risk further became disproportionate.
The holistic approach examines the system as a whole

The reductionist approach to analysis of any system involves dividing the system up into its individual
component parts.
Rs = R1 x R2 x R3 x ... x Rn
11. OUTLINE How to Improve a Series System Reliability
o Replace the least reliable components with more reliable components. There are usually one or
two weak links in the system which lower the overall reliability.
o Simplify the system so there are fewer components. The fewer components there are, the less can
go wrong!
o Change the system so that there are redundancies and back-up system. However, this would no
longer be a series system
Use of Reliable Components.
Probabilistic reliability calculations can help identify weak components in a system which can be replaced by more
reliable components
Parallel Redundancy - one component fails the other operates to maintain control.
Standby Systems.
A standby system is where a component or unit is operating and one or more units are standing by to take over the
operation, should the primary one fail.
Quality Assurance.
Quality assurance in products is done to ensure that the item meets the required specifications.
Minimising Failures to Danger (or use of fail-safe designs).
In the event of specified failures, a "fail safe" device responds so that minimum or no harm occurs
Planned Preventative Maintenance (PPM).
Over time, with use and ageing, all units and components deteriorate and their reliability decreases.
12. Outline points could be considered when deciding on the suitability of HRA data.
o The experience of the assessor; not only in an assessor role but with the chosen HRA model, the
industry sector and with the organisation itself impacts on the validity of the findings.

Summary of unit one
o Have assumptions made been taken into included in the report and considered when reviewing
the findings? The assumptions made can significantly impact the findings.
o Familiarity with the tasks being analysed. Probabilities are likely to be more accurate for routine
tasks undertaken in simple, controlled environments than uncommon tasks undertaken in complex
environments.
o How new the technology is. Newer technology may not have up to date error data.
o Has the impact and relevance of performance shaping factors been included in the
analysis.
o Have both quantitative and qualitative methods being used in the analysis. Including
both can create a more accurate analysis
13. Outline the main benefits of PPM

o Extended useable life of components.
o Assurance of reliability.
o Confirmation of the condition of components.
o Reduced risk or loss producing events.
o Ability to carry out the work at a suitable time, minimising disruption.
o Better utilisation of maintenance staff.
o Fewer peaks and troughs in maintenance activity.
o Fewer standby facilities required.
o Less expensive (last minute) contracted services required.
14. Outline human characteristics that can impact on the workplace
o Perception – people must understand what the hazards are and the dangers involved so no
misinterpretations occur.
o Attention – there can be many different sources of information in the workplace which can
distract workers and lead to errors.
o Memory – familiarisation and knowledge on a process/activity means greater retention of
information relating to it such as correct operating procedures and PPE required
o Logical reasoning – this is the determination of a conclusion based on previous information
15. What is a HAZOP?

A hazard and operability (HAZOP) study uses systematic examinations to identify and evaluate
hazards from processes/operations that present risks to people, plant and/or successful operation.

Summary of unit one
16. What is a Fault Tree Analysis (FTA)?
A method for representing the logical combinations of various system states which lead to
a particular outcome (top event)."

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International diploma in NEBOSH UNIT ONE REVISION

Summary of unit one

o The concept of reasonable care.

o The unacceptability of putting the health and safety of people at risk.

o Society's attitude to moral obligations.

o National accident, incident and ill-health statistics.

o The effect of size of an organisation on accident and incident rates.

2. Explain the Principle of Self-Regulation.

o Damage or loss of product and raw materials.

o Repairs to plant and equipment.

o Extra wages, overtime working and temporary labour.

o Loss of contracts and sales.

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o Increased difficulty in recruiting workers.

o Increase in insurance premiums.

o Clean up and recovery operations.

o No sick pay for injured or ill workers.

for recruitment and training.

premiums) and less risk of fines and legal costs.

o Improved reputation among suppliers and partners.

partly because employees are healthier, happier and better motivated.

6. Ouline the Legal Reason for managing H&S in a medium organisation

notices for legal breaches

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o Disqualification of directors, preventing them from holding positions of responsibility.

o Injunctions, which are court orders to force a company to act.

o The compensatory effects of law.

o Loss of future earnings.

o Cost of medical treatment.

o The principle of self-regulation.

o Economic climate, government policy and initiatives.

o Industry/business risk profile.

Patterns and Time Differences & migration.

o Societal expectations of equality i.e. adjustments for workers with disabilities

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o Reduction in numbers of qualified health and safety professionals.

likely to develop an ill-health condition.

time and money on the correct safety precautions.

of the workers to communicate clearly.

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11. Explain what is a Management System

o Helping the organisation create a safer work environment.

insurance claim excesses, replacement labour and increased insurance premiums.

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o Improving business opportunities.

13. outline the principles of a health and safety policy document

o The policy should be clearly communicated to all workers..

reviewed at least annually.

o The policy should be written in a language that is easy to understand.

14. outline the objectives of a health and safety policy in a organization .

o To ultimately avoid accidents and incidents of occupational ill-health.

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o the prevention of occupational injuries and ill health

o Provide a procedural framework for setting health and safety objectives.

o Treat health and safety legislation as a minimum standard.

o Carry out regular policy reviews and monitoring

16.outline the Typically in formation in the arrangements made in arrangement section

o Procedures for carrying out risk assessments.

o Arrangements for communicating and consulting on health and safety.

handling, fire, work at height, machinery, electricity, etc.).

o Accident reporting and investigation procedures.

o Procedures for control of contractors and visitors.

o Monitoring procedures, including health and safety inspections and audits.