Nebosh National Diploma Occupational Health Safety Guide

November 2015
Guide to the
NEBOSH National
Diploma in
Occupational Health
and Safety
Front cover photograph:
Graham Losh
FA Group Occupational Health and Safety Manager
Awarded the:
 NEBOSH National General Certificate in Occupational Health
and Safety in 2005
 NEBOSH National Certificate in Fire Safety and Risk
Management in 2008
 NEBOSH National Diploma in Occupational Health and Safety
in 2010
Qualification title: National Diploma in Occupational Health and Safety

Version: 5
Specification date: November 2015
Guide publication date: November 2016
The National Examination Board in Occupational Safety and Health (NEBOSH),

Dominus Way, Meridian Business Park, Leicester LE19 1QW.
Registered Charity Number: 1010444
Telephone: +44 (0) 116 263 4700

Fax: +44 (0) 116 282 4000
Email: [email protected]
Website: www.nebosh.org.uk
© NEBOSH
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or
transmitted in any form, or by any means, electronic, electrostatic, mechanical, photocopied or
otherwise, without the express permission in writing from NEBOSH.
© NEBOSH 2016
Guide to the NEBOSH National Diploma in Occupational
Health and Safety (November 2015 specification)
Contents
1. Introduction
1.1 Benefits for employers 1
1.2 Designatory letters 2
1.3 Professional membership 2
1.4 Qualification level and UK accreditation 2
1.5 Key topics covered 2
1.6 Course tuition and private study time requirements 3
1.7 Entry requirements 3
1.8 Minimum standard of English required for students 3
1.9 Legislation 4
1.10 Legislative updates 4
1.11 National Occupational Standards (NOS) and best practice 4
1.12 Qualification type 4
1.13 Qualification progression 5
1.14 Programmes offered by NEBOSH-accredited course providers 5
1.15 Examination dates 5
1.16 Specification date 5
1.17 Syllabus development and review 6
1.18 Further information for students 6
1.19 Further information for accredited course providers 6
2. Qualification structure
2.1 Student enrolment 7
2.2 Common unit and exemption 7
2.3 Unit assessments 7
2.4 Assessment setting and marking 9
2.5 Unit pass standards 9
2.6 Unit certificates 9
2.7 Qualification grade 9
2.8 Qualification parchment 9
2.9 Re-sitting unit/s 10
3. Policies
3.1 Requests for access arrangements/reasonable adjustments 11
3.2 Requests for special consideration 11
3.3 Enquiries about results and appeals 11
3.4 Malpractice 12
4. Notes for tutors

4.1 Case studies / past incidents 13
4.2 Decided cases 13
4.3 Tutor references 13
4.4 Teaching of units 13
4.5 Conflict of interest 13
4.6 Minimum standard of English required for tutors 14
© NEBOSH 2016
5. Syllabus - NEBOSH National Diploma in Occupational Health and Safety
(November 2015 specification) 15
5.1 Unit A: Managing health and safety

Element A1: Principles of health and safety management 19
Element A2: Principles of health and safety law 21
Element A3: Criminal law 24
Element A4: Civil law 26
Element A5: Loss causation and incident investigation 29
Element A6: Measuring and reviewing health and safety performance 31
Element A7: The assessment and evaluation of risk 33
Element A8: Risk control 35
Element A9: Organisational factors 37
Element A10: Human factors 40
Element A11: The role of the health and safety practitioner 42
Unit A: Tutor References 44
Health and safety incidents 44
Statutory instruments 44
Other relevant references 45
5.2 Unit B: Hazardous substances / agents

Element B1: Managing occupational health 47
Element B2: Identification, assessment and evaluation of hazardous substances 49
Element B3: The control of hazardous substances 51
Element B4: The monitoring and measuring of hazardous substances 54
Element B5: Biological agents 56
Element B6: Noise and vibration 58
Element B7: Radiation 62
Element B8: Mental ill-health and dealing with violence and aggression at work 65
Element B9: Musculoskeletal risks and controls 68
Element B10: Work environment risks and controls 70
Unit B: Tutor References 72
5.3 Unit C: Workplace and work equipment safety

Element C1: Workplace welfare requirements and specific workplace issues 76
Element C2: Fire and explosion 78
Element C3: Workplace fire risk assessment 80
Element C4: The storage, handling and processing of dangerous substances 82
Element C5: Work equipment 84
Element C6: Workplace machinery 87
Element C7: Mobile, lifting, access and work at height equipment 89
Element C8: Electrical safety 91
Element C9: Construction and works of a temporary nature - hazards and controls 93
Element C10: Workplace transport and managing work-related road risk 95
Unit C: Tutor References 97
Health and safety incidents 97
5.4 Unit DNI: Application of health and safety management in the workplace
© NEBOSH 2016
5. Sample question papers
5.1 Unit A: Managing health and safety 104
5.2 Unit B: Hazardous agents in the workplace 109
5.3 Unit C: Workplace and work equipment safety 113
© NEBOSH 2016
The Guide to the NEBOSH National Diploma in Occupational Health and Safety
(November 2015 specification)
1. Introduction
The NEBOSH National Diploma is the flagship NEBOSH qualification and is the first UK
vocational qualification to be developed specifically for health and safety professionals. The
National Diploma has become established as the most popular professional qualification for
safety and health practitioners in the UK, with over 11000 students having achieved the
qualification since its introduction in 1988.
The NEBOSH National Diploma is the qualification for aspiring health and safety
professionals, building directly upon the foundation of knowledge provided by the NEBOSH
National General Certificate. It is designed to provide students with the knowledge and
understanding required for undertaking a career as a health and safety practitioner and it also
provides a sound basis for progression to postgraduate study.
1.1 Benefits for employers

Accidents and work-related ill-health affect all types of workplaces and occupations. In the
year 2014/15 the following UK statistics were reported by the Health and Safety Executive:
 142 people killed at work;

 1.2million people suffered from work-related illness;
 2358 Mesothelioma deaths due to past exposures (2013 figures);
 13000 deaths occur each year from work-related lung disease and cancer due to past
exposure (primarily from dust and chemicals at work);
 76000 other injuries reported under the Reporting of Injuries, Diseases and Dangerous
Occurrences Regulations 2013;
 611000 other injuries occurred at work (Labour Force Survey);
 27.3million days lost due to work-related illness and workforce injury;
 Mental ill-health gave rise to most working days lost (an estimated 234000 cases);
 £14.3billion is the estimated cost of injuries (£4.96billion) and ill health (£9.46billion) from
working conditions (2013/14 figures).
In addition to the direct costs of sick pay and absence, employers can find themselves dealing
with criminal prosecution, claims for compensation, adverse publicity and harm to both
business reputation and profitability. The following enforcement actions were taken in Great
Britain during 2014/15:
 586 cases were prosecuted by the HSE in England and Wales;

 70 cases were prosecuted by Local Authorities in England and Wales;
 72 cases were prosecuted by the Procurator Fiscal in Scotland;
 12430 enforcement notices were issued by all enforcing authorities.
In addition to prosecutions and enforcement notices the HSE is also able to charge Fees for
Intervention (FFI) for those organisations that are found to have made a ‘material breach’. The
FFI is currently £124 per hour.
The management of health and safety in the workplace is not only a legal obligation and a
moral imperative, it also makes good business sense. Qualified health and safety
professionals are an asset to their organisation. They can help to reduce costs by preventing
accidents and ill health of employees, while at the same time avoiding unnecessary expense
by over-reacting to trivial risks. This in turn can lead to improved productivity and the raising
of workforce morale. Effective health and safety management should be recognised as an
essential element of a successful management strategy.
© NEBOSH 2016 1
Courses leading to the NEBOSH National Diploma may be taken in a variety of formats and
at a pace to fit around the needs of the individual and the business. Its unitised structure
recognises success as the student progresses. Its practical approach promotes the
application of the knowledge acquired on the course to problem solving in the student’s own
workplace.
1.2 Designatory letters

Holders of the NEBOSH National Diploma in Occupational Health and Safety may use the
designatory letters ‘DipNEBOSH’ after their name.
1.3 Professional membership

The qualification meets the academic requirements for application for Graduate Membership
(Grad IOSH) of the Institution of Occupational Safety and Health (IOSH – www.iosh.co.uk).
This is the first step to becoming a Chartered Health and Safety Practitioner as a Chartered
Member of IOSH (CMIOSH).
Holders of the National Diploma are able to waive the Board of Certified Safety Professionals’
Associate Safety Professional (ASP) examination so that, if they meet all other requirements,
they may sit directly for the Certified Safety Professional (CSP) examination.
Holders of the NEBOSH National Diploma in Occupational Health and Safety and either the
NEBOSH National or International Certificate in Construction Health and Safety meet the
headline entrance criteria requirements for Registered Construction Safety Practitioner
(RMaPS) and membership of the Association for Project Safety (APS).
The National Diploma is also accepted by the International Institute of Risk and Safety
Management (IIRSM) as meeting the academic requirements for full membership (MIIRSM).
1.4 Qualification level and UK accreditation

NEBOSH is intending to apply for the NEBOSH National Diploma in Occupational Health and
Safety (November 2015 specification) to be accredited and credit rated by the Scottish
Qualifications Authority (SQA - www.sqa.org.uk) for delivery across the UK. The February
2010 specification is rated within the Scottish Credit and Qualifications Framework (SCQF -
www.scqf.org.uk) at SCQF Level 10 with 48 SCQF credit points. It is anticipated that the
revised November 2015 specification will be at the same level with 51 credits.
For users in England, Wales and Northern Ireland, this is comparable to a Vocationally-
Related Qualification (VRQ) at Level 6 within the Regulated Qualifications Framework (RQF)
and Qualifications and Credit Framework (QCF), or Honours Degree standard.
For further information please refer to the “Qualifications can cross boundaries” comparison
chart issued by the UK regulators, available from the SQA website (www.sqa.org.uk).
1.5 Key topics covered
 Managing health and safety

 Hazardous agents in the workplace
© NEBOSH 2016 2
 Workplace and work equipment safety

 Practical application of health and safety theory
1.6 Course tuition and private study time requirements

Unit A: 103 hours tuition and 85 hours private study Total: 188 hours
Unit B: 65 hours tuition and 50 hours private study Total: 115 hours
Unit C: 70 hours tuition and 50 hours private study Total: 120 hours
Unit DNI: 5 hours tuition and 72 hours private study Total: 77 hours
A programme of study therefore needs to be based around a minimum of 243 taught hours
and approximately 257 hours of private study for an overall total of 500 Hours.
A full-time block release course would be expected to last for a minimum of 7-weeks (35-
working days) and a part-time day release course would be spread over at least 30-weeks.
The tuition hours should be added to the recommended private study hours to give the
minimum number of hours for students studying by open or distance learning.
Tuition time should normally be allocated proportionate to the tuition time for each element but
may require adjustment to reflect the needs of a particular student group.
Quoted hours do not include assessment time, ie, sitting written examinations.
1.7 Entry requirements

The NEBOSH National Diploma syllabus assumes that students will have knowledge of health
and safety equivalent to that provided by the NEBOSH National General Certificate (NGC).
The achievement of the NGC or direct equivalent prior to undertaking the Diploma
course is highly recommended, because of the demands of high level study, the time
commitment required and the complementary nature of the NEBOSH NGC and National
Diploma. Further information on the NEBOSH National General Certificate can be found via
our website www.nebosh.org.uk.
It should be noted that currently the assessments are offered (and must be answered) in
English only. The qualification includes a requirement to write an extended assignment based
on the student’s own workplace, which must also be in English. Students should discuss this
requirement with the accredited course provider before undertaking the qualification.
Students must satisfy any entry requirements specified by the course provider. Acceptance
on to the programme may be based on the admission tutor’s judgement on the student’s ability
to benefit from the programme.
1.8 Minimum standard of English required for students

The standard of English required by students studying for the NEBOSH National Diploma must
be such that they can both understand and articulate the concepts contained in the syllabus.
It is important to stress that it is the responsibility of accredited course providers to determine
their students’ standards of proficiency in English.
© NEBOSH 2016 3
NEBOSH recommends that students undertaking this qualification should reach a minimum
standard of English equivalent to an International English Language Testing System score of
7.0 or higher in order to be accepted onto a National Diploma programme.
For further information please see the latest version of the IELTS Handbook or consult the
IELTS website: http://www.ielts.org/institutions/test_format_and_results.aspx.
Students wishing to assess their own language expertise may consult the IELTS website for
information on taking the test: http://www.ielts.org/faqs.aspx.
1.9 Legislation
The syllabus refers to UK legislation. Where the syllabus refers to the legislative system of
England and Wales, students may refer to the legislative systems and requirements that apply
in Scotland or Northern Ireland, provided that these references are clearly indicated as such.
If this qualification is delivered overseas, accredited course providers may refer to examples
of local legislation as part of the course programme but examination questions will refer to UK
legislation only.
1.10 Legislative updates

Relevant new legislation will become examinable in detail six months after its date of
introduction. However, students will be expected to be up-to-date at the time of the
examination and, whilst detailed knowledge will not be expected, reference to new or
impending legislation, where relevant to an examination question, will be given credit.
Please note, NEBOSH will not ask questions related to legislation that has been repealed,
revoked or otherwise superseded.
NB: Accredited course providers are expected to ensure their course notes remain current
with regard to new legislation. NEBOSH issues bi-annual legal updates to assist accredited
course providers with this process.
1.11 National Occupational Standards (NOS) and best practice

The syllabus is mapped to the relevant National Occupational Standard (NOS). The mapping
of the syllabus against each of the above standards can be found on pages
15-18.
1.12 Qualification type

NEBOSH offers Vocationally-Related Qualifications (VRQs) in England, Wales and Northern
Ireland.
VRQs provide the knowledge and practical skills required for particular job roles through a
structured, study-based training programme that combines the testing of knowledge and
understanding in written examinations with practical application of learning in the workplace.
© NEBOSH 2016 4
VRQs are a popular type of qualification because they are nationally recognised, flexible and
offer routes for progression to employment or further study.
In Scotland, VRQs are known as ‘Other accredited qualifications’.
1.13 Qualification progression

National Diploma holders with Environmental responsibilities may wish to take the NEBOSH
National Diploma in Environmental Management.
Students who wish to continue their studies overseas may wish to consider the NEBOSH
International Diploma in Occupational Health and Safety. Unit DNI is a ‘common unit’ and
forms part of the National and International Diplomas. Therefore, students who wish to study
the International Diploma will only need to pass three additional units to achieve this additional
qualification.
Students who have achieved the NEBOSH National Diploma may be considering further
health and safety study. NEBOSH has entered into partnership with the University of Hull to
offer a range of Masters Degrees.
A number of other universities offer MSc programs which accept the NEBOSH Diploma as a
full or partial entry requirement. Some MSc courses may require additional
qualifications/expertise such as a degree, further significant work experience or expect
students to complete specific modules eg, in environmental management.
Further information can be found on our website: www.nebosh.org.uk/qualifications
1.14 Programmes offered by NEBOSH-accredited course providers

Accredited course providers can be located using the ‘Where to study’ tab on our website:
www.nebosh.org.uk
NB: Students are advised to check up-to-date information on course dates directly with
accredited course providers. It is also recommended that students contact only accredited
course providers which appear on the NEBOSH website; this ensures that the accredited
course providers have met NEBOSH’s quality standards.
1.15 Examination dates

‘Standard’ examination dates for this qualification are available annually in January and July. Unit
DNI assignment submission dates are available annually in February, May, August and
November.
‘On-demand’ examinations are not available for this qualification.
1.16 Specification date

The November 2015 specification for this qualification replaces the previous February 2010
specification for all examinations from (and including) January 2017.
© NEBOSH 2016 5
1.17 Syllabus development and review

The syllabus has been developed by NEBOSH following extensive consultation with key
stakeholders, notably previous Diploma students, accredited course providers, professional
bodies, employers, standards setting organisations, enforcement bodies and subject experts.
NEBOSH would like to take this opportunity to thank all those who participated in the
development, piloting and implementation of this qualification.
1.18 Further information for students

Further information for students, including a qualification overview leaflet and a sample
examiners’ report, can be found via the NEBOSH website (www.nebosh.org.uk).
1.19 Further information for accredited course providers

Further information for accredited course providers, including policies and procedures and
guidance regarding the Unit DNI assignment, can be found in the accredited course providers’
section of the NEBOSH website.
© NEBOSH 2016 6
2. Qualification structure
2.1 Student enrolment
 At the start of their studies, students will enrol with NEBOSH. The enrolment period is 5-
years.
 On completion of the first successful unit, the enrolment start date will change to the same
as the declaration date (the date which appears on the unit certificate) of the successful
unit. The student will then have 5-years from this new date to achieve the qualification.
 All units will have a 5-year validity period. Units which are older than 5-years will no longer
be valid and will not count towards the qualification grading. Any such unit/s will need to
be retaken by the student to allow the student to complete the qualification.
 Once the oldest unit is no longer valid ie, it is 5 or more years older than the current date,
the enrolment start date will move to the declaration date of the second successful unit.
 The student’s enrolment period will end:
o when the student has successfully completed all 4 units; or
o when all successful units have expired (ie the declaration date/s are 5 or more years
older than the current date; or
o 5-years from the enrolment start date if the student has not attempted any unit
assessment; or
o 5-years from the enrolment start date if unit assessment/s have been attempted but
the student has received a ‘Refer’ result and/or has been marked as ‘absent’.
 If a student cannot complete all 4 units within the 5-year completion time-frame they may
apply for a unit validity extension for each affected unit. Please refer to the ‘Enrolment
Policy for NEBOSH Diploma Level Qualifications’ for further information.
2.2 Common unit and exemption

The NEBOSH National Diploma in Occupational Health and Safety shares a ‘common unit’
(Unit DNI) with the NEBOSH International Diploma in Occupational Health and Safety.
Students can, therefore, take the assessments for Units IA, IB and IC and they will gain an
additional qualification.
The ‘common unit’ can be used as an exemption against the International Diploma in
Occupational Health and Safety for up to five years after the declaration date (the date printed
on the unit certification) of Unit DNI. Likewise, holders of the International Diploma in
Occupational Health and Safety will have five years to use their Unit DNI pass as an exemption
against the same unit for the National Diploma in Occupational Health and Safety.
2.3 Unit assessments

The National Diploma in Occupational Health and Safety is divided into four units. All units
are mandatory and there are no optional units. The student may choose to take the units
together or at different times.
© NEBOSH 2016 7
Unit A: Managing health and safety
 Unit A is a taught unit which is assessed by a 3-hour written examination

 The written examination consists of 11 questions split into Section A and Section B
 Section A consists of 6 ‘short-answer’ questions (10 marks each) – all questions are
compulsory
 Section B consists of 5 ‘long-answer’ questions (20 marks each) – the student answers 3
out of the 5 questions
 There is a total of 120 marks available for the paper; the total mark for the paper (Section
A + Section B) will then be converted to a percentage
 Student scripts are marked by external examiners appointed by NEBOSH
 A sample examination question paper can be found in Section 6.
Unit B: Hazardous substances/agents
 Unit B is a taught unit which is assessed by a 3-hour written examination

compulsory
Unit C: Workplace and work equipment safety
 Unit C is a taught unit which is assessed by a 3-hour written examination

compulsory
Unit DNI: Application of health and safety management in the workplace
 Unit DNI consists of a written assignment set by NEBOSH
© NEBOSH 2016 8
 The report should be approximately 8000 words in total, excluding the references,
bibliography and appendices. No penalty will be applied to reports which exceed 8000
words but students should aim to keep their word count under 12000
 Submission dates for Diploma assignments are in February, May, August and November
each year
 The assignment is marked by external examiners appointed by NEBOSH.
2.4 Assessment setting and marking

NEBOSH applies best practise in relation to assessment setting and marking. NEBOSH uses
external assessment for written examinations and assignments: scripts are sent to NEBOSH
and undergo rigorous marking, checking and results determination processes to ensure
accuracy and consistency.
2.5 Unit pass standards

The pass standard for each unit may vary according to pre-determined criteria but is normalised
to 45% for the written papers (Units A, B and C) and 50% for the assignment unit (Unit DNI).
2.6 Unit certificates

Students who are successful in an individual unit will be issued with a unit certificate, normally
within 40 working-days of the issue of the unit result notification. Units are not graded and the
unit certificates will show a ‘Pass’ only.
2.7 Qualification grade

When students have been awarded a unit certificate for all four units (ie, have achieved a Pass
in units A, B, C and DNI), the percentage for each of the units are added together and a final
grade is awarded as follows:
Distinction 280 or more

Credit 240 – 279
Pass 185 – 239
2.8 Qualification parchment

Once a student has achieved a ‘Pass’ in all four units and the qualification grade has been
awarded they are normally considered to have completed the qualification. A qualification
parchment will be issued within 40 working days of the unit result declaration date for the fourth
successfully completed unit.
However, once the result of the fourth successfully completed unit has been issued the student
has 20 working days from the date of issue of that result to either:
 Inform NEBOSH in writing of their intention to re-sit a successful unit for the purposes of
improving a grade
 Submit an Enquiry About Result (EAR) request (see Section 3.3).
© NEBOSH 2016 9
2.9 Re-sitting unit/s

If a student’s performance in any unit is lower than a ‘Pass’, the student may re-sit the unit/s
in which they have been unsuccessful providing that this happens within the 5-year completion
period. However, each re-sit will incur an additional fee.
Students may re-sit units at any time within their enrolment period. This includes re-sitting
successful unit/s to try to improve the qualification grade. When all four units have been
successfully completed, students will need to inform NEBOSH of their intention to re-sit the
successful unit/s within 20-working days of the date of the results issue for the fourth
unit. There is no limit to the number of re-sits which can be taken within the enrolment period.
If a re-sit results in a lower mark than a previously declared mark for that unit, the highest mark
will be used when calculating the qualification grade.
For the Unit DNI assignment, there is no limit to the number of submissions within the
completion period. If a student gains lower than the pass standard in the assignment, they
may revise and submit the assignment again. However, they must re-register for the
assignment in order to do so. Please note that no feedback will be given on the referred
assignment and each additional submission will incur a fee. Marks awarded for subsequent
submissions will not be capped.
If a student registers for any unit of the National Diploma whilst awaiting a result from a
previous sitting of an examination that student may not seek a refund of the registration fee if
they retrospectively claim exemption for that unit except in the case of an Enquiry About
Result.
© NEBOSH 2016 10
3. Policies
3.1 Requests for access arrangements/reasonable adjustments
Access arrangements and reasonable adjustments are modifications which are approved in
advance of an examination. They allow attainment to be demonstrated by students with either
a permanent or long-term disability or learning difficulty, or temporary disability, illness or
indisposition.
Accredited course providers must make requests to NEBOSH for access arrangements or
reasonable adjustments at least one month before the assessment.
For further details see the NEBOSH “Policy and procedures for access arrangements,
reasonable adjustments and special consideration” available from the NEBOSH website
(www.nebosh.org.uk).
3.2 Requests for special consideration

Special consideration is a procedure that may result in an adjustment to the marks of a student
who has been unable to demonstrate attainment because of temporary illness, injury,
indisposition or an unforeseen incident at the time of the assessment.
Students who feel they have been disadvantaged due to illness, distraction or any other
reason during the assessment must report this to the invigilator (or the accredited course
provider in the case of the assignment) before leaving the examination room. They must
request that their written statement, together with the invigilator’s comments on the statement,
be sent by the accredited course provider to NEBOSH.
Requests for special consideration must be made to NEBOSH by the accredited course
provider as soon as possible and no more than seven working days after the assessment.
For further details see the NEBOSH “Policy and procedures on reasonable adjustments and
special consideration” available from the NEBOSH website (www.nebosh.org.uk).
3.3 Enquiries about results and appeals

NEBOSH applies detailed and thorough procedures to review and check assessment results
before they are issued. This includes a particular review of borderline results. This ensures
that the declared results are a fair and equitable reflection of the standard of performance by
students.
There are, however, procedures for students or accredited course providers to enquire about
results that do not meet their reasonable expectations. An ‘enquiry about result’ (EAR) must
be made in writing within one month of the date of issue of the result to which it relates.
For details see the NEBOSH “Enquiries and appeals policy and procedures” document
available from the NEBOSH website (www.nebosh.org.uk).
© NEBOSH 2016 11
3.4 Malpractice
Malpractice is defined as any deliberate activity, neglect, default or other practice by students
and/or accredited course providers that compromises the integrity of the assessment process,
and/or the validity of certificates. Malpractice may include a range of issues. These include
collusion or use of unauthorised material by students, the failure to maintain appropriate
records or systems by accredited course providers, and the deliberate falsification of records
in order to claim certificates. Failure by an accredited course provider to deal with identified
issues may in itself constitute malpractice.
For further details see the NEBOSH “Malpractice policy and procedures” document available
from the NEBOSH website (www.nebosh.org.uk).
© NEBOSH 2016 12
4. Notes for tutors
4.1 Case studies / past incidents

The tutor references for Units A and C contain references to past incidents which were
previously part of the syllabus content. These references can be used during teaching to help
to illustrate the topic being taught. The references quoted are not an exhaustive list and tutors
are at liberty to use different incidents to those quoted in the syllabus.
The case studies/past incidents will not be examinable.
4.2 Decided cases

Decided cases are included in Units A and B and form part of the syllabus content; these
cases are, therefore, examinable. Accredited course providers are only expected to give an
overview of the cases, the decision of the court and the legal precedent set in relation to health
and safety. Marks will also be awarded in assessments for other relevant case law which is
applied correctly to the scenario given.
4.3 Tutor references

Tutor references are given at the end of each unit and are split between statutory provisions
and guidance documents. These references are given to aid tutors with the teaching of the
syllabus content; they are not an exhaustive list and tutors can use other references to those
quoted in the syllabus.
4.4 Teaching of units

Although the syllabus sets out the Units and Elements in a specific order, tutors can teach the
Units and Elements in any order they feel is appropriate. Course providers will need to reflect
this in the timetables which are submitted for approval as part of the accreditation/re-
accreditation process.
Element A11 (the role of the health and safety practitioner) has been included within the
content for Unit A but will not be examinable by the Unit A written examination. The content
of this element will be assessed only through Unit DNI.
4.5 Conflict of interest

Accredited Course Provider staff including Head of Accredited Course Providers, Tutors,
Administrators, Examinations Officers and Invigilators must declare in writing to NEBOSH any
employment and/or familial, spousal or other close personal relationship with any examination
or assessment candidate. Further information can be found in the ‘Instructions for Conducting
Examinations’ document.
© NEBOSH 2016 13
4.6 Minimum standard of English required for tutors

Tutors who are based overseas and wish to deliver the NEBOSH National Diploma must have
a good standard of English. They must be able to articulate the concepts contained in the
syllabus. The accredited course provider must provide evidence of the tutor’s standard of
English when submitting the tutor’s CV for approval.
NEBOSH’s requirement is for tutors delivering this qualification to have reached a minimum
standard of English equivalent to an International English Language Testing System score of
7.0 or higher in IELTS tests.
© NEBOSH 2016 14
5. Syllabus - NEBOSH National Diploma in Occupational

Health and Safety (November 2015 specification)
Structure
The qualification is divided into 4 units; Units A is further divided into 11 elements and Units B
and C into 10 elements.
The matrix below indicates how the syllabus elements map to the relevant units of the National
Occupational Standards (See also section 1.11):
 National Occupational Standards (NOS) for Health and Safety (Practitioner units)
published by Proskills Sector Skills Council. The standards can be found at
http://nos.ukces.org.uk/Pages/index.aspx.
Element Element title Recommended Relevant Page

number tuition hours Proskills units number
1 Principles of health and safety PROHSP1, 3, 11

management 6 12, 13, 16 19
2 Principles of health and safety law 12 PROSHP12, 13 21
3 Criminal law 9 PROHSP12 24
4 Civil law 12 PROHSP12 26
5 Loss causation and incident investigation 6 PROHSP8 29
6 Measuring and reviewing health and PROHSP6, 7, 8
safety performance 9 9, 11 31
7 Assessment and evaluation of risk 11 PROHSP4, 6, 8 33
8 Risk control 8 PROHSP6, 8 35
9 Organisational factors 14 PROHSP1, 2, 3
14, 15 37
10 Human factors 10 PROHSP2, 5, 6,
14 40
11 The role of the health and safety PROHSP1, 2, 4, 5
practitioner 6 6, 12, 13, 14 42
Total taught hours 103

Total self-study hours 85
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Unit B: Hazardous substances / agents

1 Managing occupational health 7 PROHSP6, 7, 8 47

2 Identification, assessment and
evaluation of hazardous substances 8 PROHSP6, 8 49
3 Control of hazardous substances 7 PROHSP6 51
4 Monitoring and measuring of
hazardous substances 6 PROHSP6, 7, 8 54
5 Biological agents 5 PROHSP6 56
6 Noise and vibration 10 PROHSP6, 7, 8 58
7 Radiation 6 PROHSP6, 7, 8 62
8 Mental ill-health and dealing with
violence and aggression at work 6 PROHSP6, 8 65
9 Musculoskeletal risks and controls 5 PROHSP6 68
10 Work environment risks and controls 5 PROHSP6, 7, 8
10 70

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Unit C: Workplace and work equipment safety

1 Workplace welfare requirements and

specific workplace issues 7 PROHSP6 76
2 Fires and explosions 5 PROHSP6 78
3 Workplace fire risk assessment 6 PROHSP6 80
4 Storage, handling and processing
of hazardous substances 7 PROHSP6, 10 82
5 Work equipment 9 PROHSP5, 6 84
6 Workplace machinery 9 PROHSP6 87
7 Mobile, lifting, access and work at
height equipment 6 PROHSP6 89
8 Electrical safety 7 PROHSP5, 6 91
9 Construction and works of a temporary
nature – hazards and controls 8 PROHSP6 93
10 Workplace transport and managing PROHSP6, 11,
work-related road risk 6 12 95

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Unit DNI: Application of health and safety in the workplace

1 N/A 5 PROHSP1, 3, 4
5, 6, 8, 9, 11, 13 102

Qualification taught hours 243

Qualification self-study hours 257
Overall hours 500
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Aim of the unit
This unit provides students with a thorough grounding in all major aspects of managing health
and safety. It aims to prepare students for a career in health and safety by providing them
with the ability to apply their knowledge and understanding of health and safety management
issues in the workplace. In addition this knowledge and understanding prepares students for
the written question paper assessment in Unit A and the practical application (Unit DNI) which
will be carried out in their own workplace.
Element A1: Principles of health and safety management

Learning outcomes
A1.1 Explain the moral, legal and economic reasons for the effective management of health
and safety
A1.2 Outline the societal factors which influence an organisation’s health and safety
standards and priorities
A1.3 Outline the uses of, and the reasons, for introducing a health and safety management
system
A1.4 Explain the principles and content of an effective health and safety management
system including the reasons for integration with other management systems.
Content
A1.1 Reasons for the effective management of health and safety
 Moral:
- the duty of reasonable care
- the unacceptability of putting the health and safety of people at risk
- society’s attitude to moral obligations
- national accident/incident and ill-health statistics
- the effect of size of organisation on accident/incident rates
 Legal:
- preventive
- punitive
- the compensatory effects of law
- the principle of self-regulation
 Economic:
- the costs associated with accidents/incidents and ill-health and their impact on society
and on organisations
- the insured and un-insured costs
- the financial benefits of effective health and safety management.
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A1.2 Societal factors which influence an organisation’s health and safety standards
and priorities
 Factors:
- economic climate, government policy and initiatives
- industry/business risk profile
- globalisation of business
- migrant workers
- national level of sickness absence
- incapacity
- societal expectations of equality eg, adjustments for employees with disabilities.
A1.3 The uses of, and the reasons for, introducing a health and safety management
system
 The legal requirements to manage health and safety:

- written health and safety policy
- the arrangements for effective planning, organisation, control, monitoring and review
of preventive and protective measures
- access to competent health and safety advice
 What is a management system:
- application of the plan, do, check, act cycle (with reference to ‘Managing for health and
safety (HSG65)’)
 The reasons for introducing health and safety management systems.
A1.4 Principles and content of effective health and safety management systems
 Health and safety policy

- the legal requirements relating to health and safety policies and arrangements
- the role of the health and safety policy in relation to a health and safety management
system and as a vehicle for communicating health and safety information
- the requirements for a written health and safety policy and for recording arrangements
in relevant standards
- the general principles and objectives of a health and safety policy document
 The key elements/components of BS OHSAS 18001:2007 (Occupational health and safety
management systems)
 The benefits and limitations of integration of quality, environmental, and health and safety
management systems.
Recommended tuition time not less than 6 hours
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Element A2: Principles of health and safety law

Learning outcomes
A2.1 Explain the sources and types of law in force in the UK relevant to health and safety
A2.2 Explain the concept of absolute and qualified duties in relation to health and safety
legislation
A2.3 Outline the influence and role of the European Union on UK health and safety
legislation
A2.4 Outline the status and procedure for the creation of UK Acts, Regulations and Orders
A2.5 Outline the structure and functions of courts and related institutions in the UK
A2.6 Outline the principles of the law of contract and its application to health and safety
issues
A2.7 Explain the principles of employment and discrimination law as it affects health and
safety issues.
Content
A2.1 Sources and types of law
 Sources of law:
- common law: nature and development, judicial precedent
- statute law: European Directives and Regulations, UK Acts of Parliament and
Regulations; prescriptive and goal-setting legislation
 Types of law:
- criminal law: purpose, sanctions
- civil law: purpose, types of remedy
 Burden of proof – civil and criminal law.
A2.2 Absolute and qualified duties
 The concept of absolute and qualified duties

 Meaning of the terms ‘absolute’, ‘practicable’ and ‘reasonably practicable’ with reference
to relevant decided cases.
A2.3 The role of the European Union
 The influence and role of the European Union and its main institutions as they affect UK
health and safety legislation:
- European Parliament
- Council of the European Union
- European Commission
 The status of instruments in EU law – Treaties, Regulations, Directives and Decisions
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 Directives – the role of the European Parliament, Council and Commission in the Co-
Decision (Ordinary) Procedure and the significance of qualified majority voting.
 Distinction between directives made under Article 114 and Article 153 of the Treaty on the
Functioning of the European Union (TFEU). UK response to EU Directives
 The role of the European Court of Justice (ECJ) and procedure for referring cases; how
decisions of the ECJ are enforced through courts of Member States; effect of decisions of
the ECJ on UK law.
A2.4 UK Acts, Regulations and Orders
 The status and procedure for making UK Acts of Parliament, Regulations and Orders:
- Acts of Parliament – the functions of green and white papers, progression of a Bill
through Parliament
- Regulations – procedure under section 15 of the Health and Safety at Work etc. Act
1974 and permissible subject matter of Regulations, role of the Secretary of State and
the HSE in making Regulations; the various stages of consultation
 The use of socio-technical cost-benefit analysis in the economic assessment of proposed
legislative/regulatory change.
A2.5 Structure and function of the courts and related institutions
 The functions, jurisdiction and powers of:

- Employment Tribunals
- Magistrates’ Courts
- County Courts
- High Court
- Crown Court
- Court of Appeal
- Supreme Court
- Court of Justice (European)
- In Scotland - Court of Session, High Court of Justiciary, Sheriff Courts, District and
Justice of the Peace Courts
 The basic procedures for bringing prosecutions for breaches of health and safety
legislation and for pursuing civil actions (cross-refer to Element A4)
 The role of Employment Tribunals in matters of health and safety
 The appeals system: routes and grounds of appeal.
A2.6 The principles of the law of contract
 Law of contract:
- the meaning of contract including written, verbal, express and implied
- the principles of the law of contract and their application to health and safety issues;
the relationship between producer and vendor, vendor and consumer, client and
contractor; exclusion clauses and effect of the Unfair Contract Terms Act 1977.
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A2.7 The principles of employment and discrimination law
 The purpose of contract of employment

 Employment law as it relates to health and safety issues in connection with:
- disciplinary procedures
- fair and unfair dismissal
- protected characteristics such as age, sex, race and disability discrimination
- associative discrimination
- undertaking safety roles at work
- disclosure of wrong-doing at work
 Situations where it is lawful to discriminate and protection for those undertaking safety
roles at work or disclosing wrong-doing at work with reference to:
- Employment Rights Act 1996
- Trade Union and Labour Relations (Consolidation) Act 1992 (sections 152 and 153)
- Equality Act 2010
- Public Interest Disclosure Act 1998.
Decided cases
 Adsett v K&L Steelfounders & Engineers Ltd [1953] 2 All ER 320
 Edwards v National Coal Board [1949] 1 All ER 743
 Stark v The Post Office [2000] ICR 1013
© NEBOSH 2016 23
Element A3: Criminal law

Learning outcomes
A3.1 Explain the key requirements of the Health and Safety at Work etc Act 1974 and the
Management of Health and Safety at Work Regulations 1999
A3.2 Explain the status of Approved Codes of Practice and guidance and the statutory
procedures for making Approved Codes of Practice
A3.3 Explain the responsibilities and powers of enforcing agencies and officers and the
range of options related to enforcement action, their implications and appeal
procedures.
Content
A3.1 The Health and Safety at Work etc. Act 1974 and the Management of Health and
Safety at Work Regulations 1999
 The requirements and application of sections 2-4 and 6-9 of the Health and Safety at Work
etc. Act 1974, relationship between general and specific duties
 The requirements and application of the Management of Health and Safety at Work
Regulations 1999:
- suitable and sufficient risk assessments
- providing employees with information on significant risks
- providing instruction and training for employees
- effective planning, organisation, control, monitoring and review of preventative and
protective measures
 Implications of sections 36 and 37 of the Health and Safety at Work etc. Act and regulation
21 of the Management of Health and Safety at Work Regulations with reference to relevant
decided cases.
A3.2 Approved Codes of Practice and guidance
 The purpose, role, structure, application and status of approved codes of practice and HSE
guidance notes
 The statutory procedures for making approved codes of practice.
A3.3 The enforcement of health and safety law
 The identification of authorities empowered to enforce health and safety legislation

 The division of responsibilities between enforcing authorities
 The powers of enforcing authorities and their inspectors (Health and Safety at Work etc.
Act section 20 and 25)
 The obligations of enforcing officers: duty to give information to employees or their
representatives; the duty not to disclose information (Health and Safety at Work etc. Act
section 28)
 Offences and maximum penalties under the law (Health and Safety at Work etc. Act
section 33); offences for which imprisonment is, and is not, a form of sanction
© NEBOSH 2016 24
 The implications of amendments to section 3 of the Health and Safety at Work etc. Act by
the Deregulation Act 2015 and related Regulations
 The principles of enforcement with reference to the HSE’s ‘Enforcement policy statement’
(HSE41): proportionality of enforcement; consistency of approach; transparency
 Choice of enforcement option linked to the HSE’s ‘Enforcement Management Model
(EMM)’
 The consequences of material breach:
- fee for intervention
- enforcement notices: types, purpose, status, conditions for being served, grounds for
appeal, appeal procedures, effects of appeal (Health and Safety at Work Act sections
21-24 and 39)
 Prosecution options:
- simple cautions
- summary offences
- indictable offences (solemn procedure in Scotland)
- hybrid/triable either way offences
 The effect on criminal proceedings of section 40 of the Health and Safety at Work Act
 The application of common law manslaughter (culpable homicide in Scotland) and the
Corporate Manslaughter and Corporate Homicide Act 2007 to work-related
accident/incidents. The legal criteria for prosecution, enforcement and prosecution
responsibilities.
Decided cases
 R v Associated Octel Co Ltd [1996] 4 All ER 846
 R v British Steel plc [1995] IRLR 310
 R v Chargot Ltd [2008] UKHL 73
 R v HTM [2006] EWCA Crim 1156
 R v Nelson Group Services (Maintenance) Ltd [1998] 4 All ER 420
 RvP [2007] EWCA Crim 1937
 R v Porter [2008] EWCA Crim 1271
 R v Swan Hunter Shipbuilders Ltd and Another [1982] 1 All ER 264.
© NEBOSH 2016 25
Element A4: Civil law
Learning outcomes
A4.1 Explain the principles of common law
A4.2 Explain the criteria required to establish a successful civil action for breach of statutory
duty and negligence, the main defences available and the procedure for assessment
of damages under civil law
A4.3 Outline the main civil law statutory duties owed by the occupiers of premises to lawful
and unlawful visitors.
Content
A4.1 Principles of common law
 The principles of tort (delict – in Scottish law) of negligence:

- duty of care owed
- breach of the duty of care
- causal link between the breach and the loss suffered
- foreseeability of the type of damage
 The concept of ‘duty of care’:
- to whom a duty is owed (the ‘neighbour test’)
- the duty of care owed by:
o designers, manufacturers and suppliers to customers/users
o occupiers of premises to those using or visiting the premises
o contractors to clients and vice versa
- extent of duty (reasonableness, foreseeability)
- greater duty of care to more vulnerable individuals
 The common law duties owed by employers to employees to provide:
- a safe place of work and safe access and egress
- safe systems of work
- safe plant, equipment and materials
- instruction, training and supervision
- competent fellow employees
 Damage for which the tortfeasor is liable and relevance of damage of foreseeable type,
date of knowledge of risk
 The concept of vicarious liability.
A4.2 Breach of statutory duty and negligence
 The principle that a breach of a statutory duty may give rise to civil liability. Criteria for a
successful action
 The implications of section 47 of the Health and Safety at Work etc. Act 1974, the
Enterprise and Regulatory Reform Act 2013 (section 69) and the Health and Safety at
Work etc Act 1974 (Civil Liability) (Exceptions) Regulations 2013 in relation to breach of
statutory duty including the criteria for a successful action
© NEBOSH 2016 26
 The main defences to the tort (delict) of breach of statutory duty:

- statutory duty not on the defendant
- no breach of statutory duty
- injured party not within the class of persons protected by the statute
- harm not of the type that the statute was designed to prevent
- no causal connection between the breach and the loss suffered
- contributory negligence
 Main defences to claims of negligence:
- denial
- no duty owed
- no breach of duty (with reference to foreseeability, reasonableness)
- the breach did not lead to damage
- the type of damage not foreseeable
- volenti non fit injuria
- contributory negligence
- time limitation
 The implications of the Social Action, Responsibility and Heroism Act 2015
 The factors to be considered in the assessment of damages; general and special (solatium
and patrimonial loss in Scotland)
 Contributory negligence and its effects
 The concept of joint tortfeasors:
- the meaning of joint and several liabilities
- the recovery of damages from joint tortfeasor
 Personal Injury Pre-Action Protocol under the Civil Procedures Rules (England and Wales
only).
A4.3 Occupier’s liability
The main provisions of the Occupiers’ Liability Acts 1957 and 1984 or the Occupiers’ Liability
(Scotland) Act 1960 or Occupiers’ Liability Act (Northern Ireland) 1957.
Decided cases:
 Caparo Industries Plc v Dickman [1990] 2 AC 605
 Corr (Administratrix of Corr, decd) v I B C Vehicles Ltd [2008] HL
 Donoghue v Stevenson [1932] AC 562
 Fairchild v Glenhaven Funeral Services Ltd and Others [2002] UKHL 22
 Jones v Livox Quarries Ltd [1952] 2 QB 608
 Latimer v AEC Ltd [1953] 2 All ER 449, HL
 Mersey Docks and Harbour Board v Coggins and Griffith (Liverpool) Ltd [1946] 2 All ER
345
 Paris v Stepney Borough Council [1951] 1 All ER 42, HL
 Sutherland v Hatton and others [2002] EWCA Civ 76
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 Viasystems (Tyneside) Ltd v Thermal Transfer (Northern) Ltd (2005) CA

 Wilsons and Clyde Coal Co v English [1938] 3 All ER 628.
© NEBOSH 2016 28
Element A5: Loss causation and incident investigation

Learning outcomes
A5.1 Outline theories/models and use of loss causation techniques
A5.2 Explain the use of quantitative methods in analysing loss data
A5.3 Explain the significance and use of statutory and internal reporting of loss events
A5.4 Explain the reasons for loss and near miss investigations and the procedures to be
followed.
Content
A5.1 Theories/models and use of loss causation techniques
 Understand the following theories/models:

- accident/incident ratio studies, understanding their use and their limitations
- Birds domino and multi-causality theories (immediate, underlying and root causes)
- latent and active failures: purpose of Reason’s model of accident causation (swiss
cheese model), fault tree, event tree and the Bowtie model
- behavioural root cause analysis.
A5.2 The quantitative analysis of accident and ill-health data
 Methods of calculating loss rates from raw data: accident/incident frequency rate, accident
incidence rate, accident severity rate, ill-health prevalence rate
 Presenting and interpreting loss event data in graphical and numerical format, using
examples of histograms, pie charts and line graphs
 The principles of statistical variability, validity and the use of distributions (eg, importance
of representative samples, sampling a population, errors in data).
A5.3 Reporting and recording of loss events (injuries, ill-health, dangerous

occurrences) and near misses
 Statutory reporting requirements and procedures

 The significance of internal reporting and recording systems.
A5.4 Loss and near miss investigations
 Implied legal requirements

 The reasons for carrying out investigations:
- legal reasons
- information/data gathering
- establishing the root, underlying and immediate causes
 The benefits of carrying out an investigation:
- to prevent recurrence
- improved employee morale
- developing managerial skills
© NEBOSH 2016 29
 Investigation procedure with reference to ‘Investigating accidents and incidents - a

workbook for employers, unions, safety representatives and safety professionals
(HSG245)’:
- initial report (preserve the scene, note people and equipment involved, report event)
- decide whether further investigation is required
- gather information
- analyse the information
- identifying risk control measures
- produce and implement an action plan
 Sharing of information/lessons learned to prevent recurrence.
© NEBOSH 2016 30
Element A6: Measuring and reviewing health and safety

performance
Learning outcomes
A6.1 Explain the purpose and use of performance measurement in relation to health and
safety objectives and arrangements
A6.2 Explain the need for, and the objectives and limitations of, health and safety monitoring
A6.3 Describe the variety of health and safety monitoring and measurement techniques
A6.4 Explain the need for and process of reviewing health and safety performance.
Content
A6.1 The purpose and use of health and safety performance measurement
 The meaning of health and safety performance measurement

 The need for a range of both active and reactive measures to determine whether health
and safety objectives have been met
 The meaning of key performance indicators and their role in setting business objectives
 The types, benefits and limitations of leading and lagging indicators
 The assessment of the effectiveness and appropriateness of health and safety objectives
and arrangements, including control measures
 Making recommendations, based on performance, for the review of current health and
safety management systems.
A6.2 Health and safety monitoring
 The objectives of active monitoring – to check that health and safety plans have been
implemented and to monitor compliance with the organisation’s systems/procedures and
legislative/technical standards
 The objectives of reactive monitoring – to analyse data relating to accidents, ill-health and
other loss causing events
 The limitations of reliance on accident/incident and ill-health data
 The distinction between, and applicability of, active/reactive, objective/subjective and
qualitative/quantitative performance measures.
A6.3 Health and safety monitoring and measurement techniques
 The range of measures available to evaluate the health and safety performance of an
organisation and how these measures can be utilised to review the effectiveness of the
health and safety management system
 Collecting and using sickness absence and ill-health data to develop occupational policy,
strategy and targets
© NEBOSH 2016 31
 The role, purpose and key elements of health and safety audits, workplace inspections,
safety tours, safety sampling, safety surveys, safety conversations and behavioural
observations
 The in-house health and safety practitioner’s role in audits carried out by external/third
parties eg, during a certification audit
 Comparison of previous performance data with that of similar organisations/industry
sectors and with national performance data. Use and potential benefits of benchmarking.
A6.4 Reviewing health and safety performance
 Need for formal and informal performance reviews

 The review process
 The inputs to a review process – internal performance data, health and safety objectives,
organisational arrangements and change, external standards and expectations
 The outputs from a review process – actions and improvement plans, stakeholder reports,
performance targets.
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Element A7: The assessment and evaluation of risk

Learning outcomes
A7.1 Explain how to use internal and external information sources in identifying hazards and
the assessing of risk
A7.2 Outline the use of a range of hazard identification techniques
A7.3 Explain how to assess and evaluate risk and to implement a risk assessment
programme
A7.4 Explain the analysis, assessment and improvement of system failures and system
reliability with the use of calculations
A7.5 Explain the principles and techniques of failure tracing methodologies with the use of
calculations.
Content
A7.1 Sources of information used in identifying hazards and assessing risk
 Accident/incident and ill-health data and rates – incidence, frequency, severity, prevalence
 External information sources (eg, HSE and other relevant governmental agencies,
European Safety Agency, International Labour Organisation (ILO), World Health
Organisation (WHO), professional and trade bodies)
 Internal information sources – collection, provision, analysis and use of damage, injury,
and ill-health data, near-miss information and maintenance records
 The uses and limitations of external and internal information sources.
A7.2 Hazard identification techniques
 Using observation, task analysis and checklists and failure tracing techniques such as
hazard and operability studies
 The importance of employee input.
A7.3 Assessment and evaluation of risk
 Key steps in a risk assessment process including:

- ensuring comprehensive identification of risks
- identifying hazards
- identifying persons at risk
- the factors affecting probability and severity
- risk evaluation and required risk control standards
- formulating actions
- prioritising actions
- requirement to record findings
 Use and limitations of generic, specific and dynamic risk assessment
 The meaning of ‘suitable and sufficient’
 Limitations of risk assessment processes
© NEBOSH 2016 33
 Temporary and non-routine situations

 Consideration of long-term hazards to health
 Principles of and differences between qualitative, semi-quantitative and quantitative
assessments
 Organisational arrangements for implementing and maintaining an effective risk
assessment programme including procedures, recording protocols, training, competence,
responsibilities, authorisation and follow-up of actions, monitoring and review
 Acceptability/tolerability of risk; principles in HSE’s ‘Reducing risks, protecting people’
(R2P2).
A7.4 Systems failures and system reliability
 The meaning of the term ‘system’

 The principles of system failure analysis – holistic and reductionist approaches and
application to actual examples
 Using calculations in the assessment of system reliability: parallel, series and mixed
systems, common mode failures, principles of human reliability analysis
 Methods for improving system reliability: using reliable components, quality assurance,
parallel redundancy; standby systems, minimising failures to danger; planned preventive
maintenance; minimising human error.
A7.5 Failure tracing methodologies
 Principles and techniques, including the use of calculations, of the following failure tracing
methods in the assessment of risk:
- hazard and operability studies
- fault tree analysis
- event tree analysis.
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Element A8: Risk control

Learning outcomes
A8.1 Explain the use of common risk management strategies
A8.2 Outline factors to be taken into account when selecting risk controls
A8.3 Explain the development, main features and operation of safe systems of work and
permit-to-work systems.
Content
A8.1 Common risk management strategies
 The concepts of avoidance, reduction, transfer and retention with/without knowledge within
a health and safety management system, with relevant examples (eg, redesign of tasks,
automation of process, insurance policies, use of specialist contractors)
 Circumstances when each of the above strategies would be appropriate
 Factors to be considered in the selection of an optimum solution based on relevant risk
data
 The principles and benefits of risk management in a global context
 The link between the outcomes of risk assessments and the development of risk controls.
A8.2 Factors to be taken into account when selecting risk controls
 The general principles of prevention in the Management of Health and Safety at Work
Regulations
 Determine the technical/procedural/behavioural control measures required using the
general hierarchy of control (with reference to OHSAS 18001):
- elimination (technical)
- substitution (technical / procedural)
- engineering controls (technical / behavioural)
- signage/warnings and/or administrative controls (procedural / behavioural)
- personal protective equipment (technical / behavioural)
(Note: technical to include design, fencing, ventilation etc; procedural to include safe
systems of work, permit-to-work, maintenance regime etc; behavioural to include
information and training)
 Factors affecting the choice of control measures – long term/short term, applicability,
practicability, cost, proportionality, effectiveness of control, legal requirements and
associated standards, the competence of personnel and training needs relevant to
preferred controls.
A8.3 Safe systems of work and permit-to-work system
 Safe systems of work: meaning; legal (HASWA section 2(2)(a)) and practical
requirements; components (people, equipment, materials, environment); development
and implementation
 Permit-to-work systems – essential features, general application, operation and monitoring
© NEBOSH 2016 35
 The use of risk assessment in the development of safe systems of work and safe operating
procedures.
© NEBOSH 2016 36
Element A9: Organisational factors

Learning outcomes
A9.1 Explain the types of health and safety leadership, their advantages, disadvantages and
likely impact on safety performance
A9.2 Explain the organisational benefits of effective health and safety leadership
A9.3 Explain the internal and external influences on health and safety in an organisation
A9.4 Outline the different types of organisation, their structure, function and the concept of
the organisation as a system
A9.5 Explain the requirements for managing third parties in the workplace
A9.6 Explain the role, influences on and procedures for formal and informal consultation
with employees in the workplace
A9.7 Explain health and safety culture and climate
A9.8 Outline the factors which can both positively and negatively affect health and safety
culture and climate.
Content
A9.1 Types of safety leadership and their likely impact on health and safety
performance
 The meaning of safety leadership

 Types of safety leadership, their advantages, disadvantages and likely impact on
safety performance:
- transformational
- transactional
- servant
- situational and contextual (Hersey and Blanchard)
 Behavioural attributes of an effective leader.
A9.2 Benefits of effective health and safety leadership
 Purpose of the HSE/IOD guidelines ‘Leading health and safety at work’

 Leadership as a core element of effective health and safety management
 Benefits of effective safety leadership on the health and safety culture and performance
of an organisation
 The link between effective leadership and employee engagement
 The role of both an organisation and a health and safety practitioner in encouraging
positive leadership and supporting managers at all levels to exhibit commitment to a
safe and healthy workplace
 Influence of corporate social responsibility and business ethics on health and safety
management
 Influence of the Financial Reporting Council Guidance on Internal Control (formerly the
Turnbull guidance) on health and safety management.
© NEBOSH 2016 37
A9.3 Internal and external influences
 The internal influences on health and safety within an organisation eg, finance, production
targets, trade unions, organisational goals and culture
 The external influences on health and safety within an organisation eg, legislation,
Parliament/HSE, enforcement agencies, courts/tribunals, contracts, clients/contractors,
trade unions, insurance companies, public opinion.
A9.4 Types of organisations
 The concept of the organisation as a system

 Organisational structures and functions – including formal and informal; large or small;
organisation charts, role of management, hierarchical vs flat management structures
 Potential conflict between organisational goals and the goals of the individual
 The integration of the goals of the organisation with the needs of the individual – authority,
responsibility, accountability.
A9.5 Requirements for managing third parties
 Identifying third parties: contractors, agency workers and other employers (shared
premises)
 Internal rules and procedures concerned with the selection, appointment and control of
contractors
 Responsibilities for control of risk associated with contractors and visitors
 Requirements to provide information relating to hazards/risks to third parties
 Review of contractor performance.
A9.6 Consultation with employees
 The role and benefits of consultation within the workplace with reference to the Safety
Representatives and Safety Committee Regulations 1977 and the Health and Safety
(Consultation with Employees) Regulations 1996
 Formal consultation:
- the functions and rights of representatives on health and safety (trade union-appointed,
elected) reference to sections 168, 168a, 169, 170 of the Trade Union and Labour
Relations (Consolidation) Act 1992
- the functions of a safety committee
- formal consultation directly with employees
 Informal consultation:
- discussion groups, safety circles, departmental meetings, employee discussion, email
and web-based forums
 Behavioural aspects associated with consultation – peer group pressures, danger of
tokenism, potential areas of conflict
 The role of the health and safety practitioner in the consultative process.
© NEBOSH 2016 38
A9.7 Health and safety culture and climate
 The meaning of ‘health and safety culture’ and ‘health and safety climate’
 The influence of health and safety culture on behaviour and the effect of peer group
pressure and norms
 The impact of organisational cultural factors and associated values on individual behaviour
 Indicators of culture
 The correlation between health and safety culture/climate and health and safety
performance; the subjective and objective nature of culture and climate
 The measurement of the health and safety culture and climate, ie, safety climate
assessment tools, perception surveys, findings of accident/incident investigations,
effectiveness of communication, evidence of commitment by personnel at all levels in the
organisation.
A9.8 Factors affecting health and safety culture and climate
 Factors that may promote a positive health and safety culture or climate (ie, management
commitment and leadership, high business profile of health and safety, provision of
information, involvement and consultation, training, promotion of ownership, setting and
meeting targets)
 Factors that may promote a negative health and safety culture or climate (ie, organisational
change, lack of confidence in organisation’s objectives and methods, uncertainty,
management decisions that prejudice mutual trust or lead to confusion regarding
commitment
 Effecting change: planning and communication, strong leadership, the need for a
gradualist (step-by-step) approach, direct and indirect action to promote change (including
cultural benefits from risk assessment), strong employee engagement, training and
performance measurements and the importance of feedback
 Problems and pitfalls (ie, attempts to change culture too rapidly, adopting too broad an
approach, absence of trust in communications, resistance to change).
© NEBOSH 2016 39
Element A10: Human factors

Learning outcomes
A10.1 Outline psychological and sociological factors which may give rise to specific patterns
of safe and unsafe behaviour in the working environment
A10.2 Explain the nature of the perception of risk and its relationship to performance in the
workplace
A10.3 Explain the classification of human failure
A10.4 Explain appropriate methods of improving individual human reliability in the workplace
A10.5 Explain how organisational factors can contribute to improving human reliability
A10.6 Explain how job factors can contribute to improving human reliability
A10.7 Outline the principles, conditions and typical content of behavioural change
programmes designed to improve safe behaviour in the workplace.
Content
A10.1 Human psychology, sociology and behaviour
 The meaning of the terms psychology and sociology

 The influence of personality, attitude, aptitude and motivation on human behaviour
 Key theories of human motivation: Mayo (Hawthorne experiments), Maslow (hierarchy of
needs), Vroom, Blanchard and their relevance to health and safety
 Effects experience, social and cultural background, education and training on behaviour
at work.
A10.2 Perception of risk
 Human sensory receptors and their reaction to stimuli, sensory defects and basic
screening techniques
 The process of perception of danger, perceptual set and perceptual distortion
 Errors in perception caused by physical stressors
 Perception and the assessment of risk, perception and the limitations of human
performance, filtering and selectivity as factors for perception.
A10.3 Human failure classification
 HSG48 classification of human failure

 Cognitive processing; knowledge-based, rule-based and skill-based behaviour
(Rasmussen)
 Contribution of human failure to serious incidents.
© NEBOSH 2016 40
A10.4 Improving individual human reliability in the workplace
 Motivation and reinforcement; workplace incentive schemes; job satisfaction and appraisal
schemes
 Selection of individuals – matching skills and aptitudes; training and competence
assessment; fitness for work
 Health surveillance; support for ill-health including mental health problems.
A10.5 Organisational factors
 The effect of weaknesses in the health and safety management system on the probability
of human failure, eg, inadequacies in the setting of standards, policy, planning, information
responsibilities or monitoring
 The influence of formal and informal groups within an organisation
 Organisational communication mechanisms and their impact on human failure probability,
eg, shift handover communication, organisational communication routes and their
complexity, reliability and degree of formality.
A10.6 Job factors
 The effect of job factors on the probability of human error (eg, task complexity, patterns of
employment, payment systems, shift work)
 The application of task analysis in predicting the probability and prevention of error
 The role of ergonomics in job design:
- the influence of process and equipment design on human reliability
- the employee and the workstation as a system
- elementary physiology and anthropometry
- the degradation of human performance resulting from poorly designed workstations
 Ergonomically designed control systems in relation to human reliability – ie, examples of
applications: production process control panels, crane cab controls, aircraft cockpit, CNC
lathe, etc
 The relationship between physical stressors and human reliability
 The effects of under-stimulation, fatigue and stress on human reliability.
A10.7 Behavioural change programmes
 The principles of behavioural change programmes

 The organisational conditions needed for success in behavioural change programmes
 Examples of the content of typical behavioural change programmes.
© NEBOSH 2016 41
Element A11: The role of the health and safety practitioner

Note to tutors: Element A11 does not have to be taught as part of Unit A, as it will be
assessed only as part of the Unit DNI assessment.
Learning outcomes
A11.1 Explain the role of the health and safety practitioner
A11.2 Explain the importance of effective communication and negotiation skills when
promoting health and safety
A11.3 Outline how health and safety practitioners can use financial justification to aid decision
making.
Content
A11.1 The role of the health and safety practitioner
 The role of the health and safety practitioner and the potential conflicts that this role brings
ie, who the practitioner is there to protect; employees, employers or third parties
 The meaning of the term ‘competence’ and the importance of a health and safety
practitioner recognising the limits of their own competence
 The need for health and safety practitioners to evaluate and develop their own practice so
as to maintain competence
 The role of the health and safety practitioner in mentoring and supporting the development
of health and safety competency in other relevant employees
 The distinction between leadership and management and how this can apply to a health
and safety practitioner
 The need to adopt different management styles dependent on any given situation
 The role of health and safety practitioners in the development, implementation,
maintenance and evaluation of health and safety management systems
 The meaning of the term sensible risk management including the importance of
proportionality when assessing and controlling risk
 The health and safety practitioner’s role in enabling work activities as part of proportionate
and sensible risk management
 Organisational risk profiling; its purpose, practicality and organisational context
 The contribution of the health and safety practitioner in achieving the objectives of an
organisation
 The meaning of the term ‘ethics’
 The practical application of ethical principles (ie, honesty, respect, integrity, personal
conflicts of interest) that underpin professional health and safety practitioner codes of
conduct.
© NEBOSH 2016 42
A11.2 The importance of effective communication and negotiation skills when

promoting health and safety
 Why effective communication is important

 The need for health and safety practitioners to consult and negotiate with others when
developing an organisation’s health and safety objectives
 Influencing ownership of health and safety at all levels of an organisation via:
- participation
- management accountability
- consultation
- feedback
 The importance of receiving and acting on feedback on health and safety performance
from all stakeholders
 The use of different methods of communication media available to promote the health and
safety message ie, verbal, electronic, printed, pictorial and social
 Procedures for resolving conflict and introducing change
 Ensuring roles and responsibilities are clear, understood by all workers and implemented.
A11.3 The health and safety practitioner’s use of financial justification to aid decision
making
 The significance of budgetary responsibility, including profit, loss and payback analysis
 Importance of recognising who is the responsible budget holder and how they can be
influenced to make appropriate health and safety decisions
 Cost-benefit analysis in relation to risk control decisions (organisational, design, planning,
operational)
 The internal and external sources of information that should be considered when
determining costs
 The necessity of both short and long term budgetary planning when seeking approval for
new initiatives, projects and campaigns.
© NEBOSH 2016 43
Unit A: Tutor References
Health and safety incidents

(reference to Element 10.3)
Kegworth Air Disaster Link to Kegworth disaster official report

Herald of Free Enterprise Link to Herald of Free Enterprise official report
Piper Alpha Link to Learning from the Piper Alpha Accident
Ladbroke Grove Link to Ladbroke Grove report
Three Mile Island Link to Three Mile Island accident details
Statutory instruments
Legislation Country Element/s

Treaty of the Functioning of the European Union
Europe 2
(2012/C326/01)
Corporate Manslaughter and Corporate Homicide

UK / Great Britain 3
Act 2007
Deregulation Act 2015 (Section 1) UK / Great Britain 3
Deregulation Act 2015 (Health and Safety at Work)
(General Duties of Self-Employed Persons) UK / Great Britain 3
(Consequential Amendments) Order 2015
Employers’ Health and Safety Policy Statements
(Exceptions) Regulations 1975
Employment Rights Act 1996 UK / Great Britain 3
Enterprise and Regulatory Reform Act 2013
(section 69)
Equality Act 2010 UK / Great Britain 2
Health and Safety at Work etc Act 1974 UK / Great Britain 3, 8

Health and Safety at Work etc ct 1974 (Civil
Liability) (Exceptions) Regulations 2013
Health and Safety at Work etc. Act 1974 (General
Duties of Self-Employed Persons) (Prescribed UK / Great Britain 3
Undertakings) Regulations 2015
Health and Safety (Consultation with Employees)
Regulations 1996
Health and Safety (Fees) Regulations 2012 UK / Great Britain 3
Health and Safety Information for Employees
Regulations 1989
Legal Aid, Sentencing and Punishment of
Offenders Act 2012
Legal Aid, Sentencing and Punishment of
Offenders Act 2012 (Fines on Summary Conviction) UK / Great Britain 2
Regulations 2015
Management of Health and Safety at Work
UK / Great Britain 1, 7
Regulations 1999 (as amended)
Public Interest Disclosure Act 1998 UK / Great Britain 2
© NEBOSH 2016 44

Reporting of Injuries, Diseases and Dangerous
Occurrences Regulations 2013
Safety Representatives and Safety Committee
Regulations 1977
Social Action, Responsibility and Heroism Act 2015 UK / Great Britain 3, 4
Trade Union and Labour Relations (Consolidation)
Act 1992 (as amended)
Unfair Contract Terms Act 1977 UK / Great Britain 2
Occupiers’ Liability Act 1957 and 1984 England and Wales 4
Health and Safety (Consultation with Employees)

Northern Ireland 9
Regulations (Northern Ireland) 1996
Northern Ireland 1, 7
Regulations (Northern Ireland) 2000 (as amended)
Occupiers’ Liability Act (Northern Ireland) 1957 Northern Ireland 4
Public Interest Disclosure (Northern Ireland) Order
Northern Ireland 2
1988
Occurrences Regulations (Northern Ireland) 1997 Northern Ireland 5
(as amended)
Courts Reform (Scotland) Act 2014 Scotland 2
Damages (Scotland) Act 2011 Scotland 4
Occupiers’ Liability (Scotland) Act 1960 Scotland 4
Other relevant references
Reference detail eg ISBN

Reference title Element/s
number
Consulting workers on health and safety,
Safety Representatives and Safety
Committee Regulations 1977 (as HSE Books, ISBN: 978-0-7176-6461-0
9
amended) and Health and Safety Link to L146
(Consultation with Employees)
Regulations 1996 (as amended), L146
Controlling the risks in the workplace Link to the HSE's controlling risks 7
Enforcement Management Model (EMM),
Link to EMM 3
HSE
Enforcement Policy Statement, HSE41 HSE Link to HSE41 3
Financial Reporting Council – Guidance
on Risk Management, Internal Control
Link to FRC, Sep 14 guidance 9
and Related Financial and Business
Reporting (September 2014)
Guidance on permit-to-work systems. A
HSE Books, ISBN: 978-0-7176-2943-5
guide for the petroleum, chemical and 8
Link to HSG250
allied industries, HSG250
© NEBOSH 2016 45

number
Guidance on the application of Fees for HSE Books, ISBN: 978-0-7176-6456-6
3
Intervention (FFI), HSE47 Link to HSE47
Guidelines for auditing management
ISBN: 978-0-5807-7524-6 6
systems, BS EN ISO 19011:2011
Health and Safety Offences, Corporate
Manslaughter and Food Safety and Sentencing Council Link to Sentencing
2, 3
Hygiene Offences, Definitive Guideline Council, Definitive Guideline
(effective from 1 February 2016)
Hersey-Blanchard Situational Leadership
Link to Hersey-Blanchard 9
Theory
HSE’s The Health and Safety Toolbox:
The health and safety toolbox 7
how to control risks at work
IIRSM Code of Ethics Link to IIRSM Code of Ethics 1, 11
IOSH Code of Conduct Link to IOSH Code of Conduct 1, 11
Investigating accidents and incidents – a
workbook for employers, unions, safety
HSE Books, Link to HSG245 5
representatives and safety professionals,
HSG245
Involving your workforce in health and HSE Books, ISBN: 978-0-7176-6227-2
9
safety, HSG263 Link to HSG263
Leading health and safety at work, IOD and HSE publication, HSE Books,
9, 11
INDG417 Link to INDG417
Managing for health and safety, HSG65 HSE Books, ISBN: 978-0-7176-6456-6
1, 7, 11
(third edition) Link to HSG65
Occupational health and safety OHSAS 18001
management systems – requirements ISBN: 978-0-5805-9404-5
1, 8, 9
(OHSAS 18000 series)1 OHSAS 18002
ISBN: 978-0-5806-2686-9
Occupational Safety and Health
http://www.oshcr.org/ 11
Consultants Register (OSHCR)
Plan, Do, Check, Act, An introduction to
HSE Books, Link to INDG275 1
managing for health and safety, INDG275
Reducing error and influencing behaviour, HSE Books, ISBN: 978-0-7176-2452-2
10
HSG48 Link to HSG48
HSE books, ISBN: 978-0-7176-2151-0
Reducing risks, protecting people, R2P2 7
Link to R2P2
Reporting accidents and incidents at
work, INDG453
Risk assessment, A brief guide to
controlling risks in the workplace, HSE Books, Link to INDG163 7
INDG163
1This reference will be updated once the revised ISO 45001 standard is published.
© NEBOSH 2016 46
5.2 Unit B: Hazardous substances / agents
Aim of the unit

This unit provides students with a thorough grounding in all major aspects of managing
hazardous substances and agents. It aims to prepare students for a career in health and
safety by providing them with the ability to apply their the knowledge and understanding of
hazardous substances / agents in the workplace. In addition this knowledge and
understanding prepares students for the written question paper assessment in Unit B and the
practical application (Unit DNI) which will be carried out in their own workplace.
Element B1: Managing occupational health

Learning outcomes
B1.1 Outline the nature of occupational health

B1.2 Outline the principles and benefits of the management of return to work including the
role of outside support agencies
B1.3 Outline the management of occupational health (including the practical and legal
aspects).
Content
B1.1 Nature of occupational health
 The meaning of health (with reference to definition used by the World Health Organisation)
 The meaning of occupational health (with reference to definition used by the International
Labour Organisation)
 The meaning of well-being (with reference to the definition used by the Economic and
Social Research Council (ESRC))
 The categories of occupational health hazard – chemical, physical, biological, psycho-
social, ergonomic
 The prevalence of work-related sickness and ill-health with reference to reportable and
self-reported sources of information
 The links between occupational health and general/public health, with reference to current
government strategy for managing health in relation to work including arrangements to
deal with epidemics.
B1.2 The principles and benefits of the management of return to work and vocational
rehabilitation
 The basic principles of the bio-psychosocial model and how it relates to the health of
individuals
 The elements of the Equality Act 2010 that relate to health and wellbeing at work:
- the definition of disability
- employer responsibilities
- the meaning of reasonable adjustment within the Act and non-equality act adjustments
© NEBOSH 2016 47
 The principles of fitness to work and fitness to work standards

 The role and benefits of ‘pre-placement’ assessment
 The role of ‘Fit Note’ in returning an individual back to work following sickness
 Managing long-term and short-term frequent sickness absence/incapacity for work (with
reference to PH19 – NICE)
 The meaning of vocational rehabilitation
 The benefits of vocational rehabilitation within the context of the employee and the
employer
 Overcoming any barriers to ensure that rehabilitation of the individual is effective
 The need to undertake or review risk assessments prior to return to work
 Liaison with other disciplines in assessing and managing fitness for work with specific
reference to; existing health problems, fitness to work standards, discrimination
 The role of agencies that can support the employers and employees, eg, Access to Work,
‘Fit for Work’ service etc.
B1.3 Managing occupational health
 The role, function and benefits of occupational health services

 The make-up and roles of a typical occupational health service and the importance of
determining competency: occupational health physician, occupational health nurse,
occupational health adviser, occupational health technician
 Typical services offered by an occupational health service:
- health promotion, eg, advice on work related health, lifestyle (diet, exercise, smoking
etc)
- health assessment, eg, fitness for work, pre-placement/employment, return to work,
job-related medical screening, pregnant workers
- advice to management, eg, input to risk assessments, no-smoking policy, absence
management etc
- treatment services, eg, first aid, counselling, physiotherapy, other rehabilitation
services
- medical and health surveillance
 The benefits of health needs assessment in relation to the planning of occupational health
services
 The importance of auditing against standards in occupational health provision with specific
reference to SEQOHS.
© NEBOSH 2016 48
Element B2: Identification, assessment and evaluation of

hazardous substances
Learning outcomes
B2.1 Explain the main routes of entry and the human body’s defensive responses to
hazardous substances
B2.2 Explain the identification, classification and health effects of hazardous substances
used in the workplace
B2.3 Outline the factors to consider when undertaking assessment and evaluation of risks
from hazardous substances
B2.4 Outline the role of epidemiology and toxicological testing.
Content
B2.1 The routes of entry and the human body’s defensive responses to hazardous
substances
 The structure and function of human anatomical systems: respiratory, digestive,

circulatory, nervous system and the special sensory organs (skin, eyes and nose)
 The main routes, (eyes, nose, mouth, skin) and methods of entry (inhalation, ingestion,
skin pervasion, injection, aspiration) of hazardous substances into the human body
 The concepts of target organs and target systems in relation to attack by hazardous
substances; local and systemic effects
 The body’s defensive responses (innate and adaptive) with particular reference to the
respiratory system.
B2.2 The identification, classification and health effects of hazardous substances

used in the workplace
 The influence of physical form (dust, fibre, fume, gas, mist, vapour, liquid) and properties
(ie, solubility) on routes of entry
 The distinction between inhalable and respirable dust
 The purpose of classification and the role of hazard and precautionary statements for
hazardous substances with reference to the Globally Harmonised System of Classification
and Labelling of Chemicals (GHS) and the EC Regulation No 1272/2008 Classification,
Labelling and Packaging of Substances and Mixtures (CLP)
 Health hazard classes (meaning of terms, with reference to chapter 3 of GHS) – acute
toxicity, skin corrosion, skin irritation, serious eye damage, eye irritation, respiratory
sensitisation, skin sensitisation, germ cell mutagenicity, carcinogenicity, reproductive
toxicity, specific target organ toxicity (single and repeated exposure), aspiration hazard
 The purpose of the European Regulation Registration, Evaluation, Authorisation and
restriction of Chemicals (REACH)
© NEBOSH 2016 49
 Hazardous substances: hazard class/es, route/s of entry, target organ/s and likely
acute/chronic health effect/s:
- Carbon Monoxide
- Isocyanates
- metal working fluids
- used engine oil
- Silica
- wood dusts (hard and soft wood)
- asbestos.
B2.3 The assessment and evaluation of risk from hazardous substances
 Information on substances or preparations/mixtures which have the potential to cause

harm to be communicated to users: the typical content (format and types of data) of labels;
Safety Data Sheets; Chemical Safety Assessments/Reports
 The factors to be considered in the assessment of risks to health from hazardous
substances (with reference to COSHH, Regulation 6):
- the hazardous properties of the substance, including health effects and the likely routes
of exposure (eg, what is likely to get into the air and be inhaled (volatility (liquids) or
dustiness (solids) or come into contact with skin/eyes or be swallowed)
- the effect of mixtures (antagonism eg poison vs antidote, additivity and
potentiation/synergy)
- the quantity (amounts/concentration) in use ie, level of exposure
- the operating conditions and processes used (eg, nature of the task, methods used,
high temperature)
- the range of uses of the chemicals (eg, production, handling)
- the numbers of people exposed
- the type and duration of exposure
- the frequency of exposure
- the variety and nature of tasks and the methods used (especially where exposure is
likely to be unusually high eg maintenance and accidental release)
- the thresholds of exposure (the amount needed to cause harm)
- the consequences and likelihood of failure of existing control measures
- the results from relevant health surveillance and exposure monitoring
- individual susceptibilities (eg, atopic persons, women of child bearing capacity, age,
sensitisation)
 Review of risk assessment – to take place when there is reason to suspect it is no longer
valid or where significant change to the work to which the assessment relates has
occurred.
B2.4 The role of epidemiology and toxicological testing
 Human epidemiological investigations: the role of case control studies and cohort studies
(retrospective and prospective)
 The role of toxicological testing: vertebrate animal testing, Ames test,
Qualitative/Quantitative Structure Activity Relationship (QSAR), ‘read across’ and
grouping
 The meaning of dose-response relationship, NOAEL, LD50, LC50.
© NEBOSH 2016 50
Element B3: The control of hazardous substances

Learning outcomes
B3.1 Explain the principles of prevention and control of exposure to hazardous substances
(including carcinogens and mutagens)
B3.2 Outline the specific requirements for working with asbestos
B3.3 Explain the uses and limitations of dilution ventilation and the purpose and operation
of local exhaust ventilation, including assessing and maintaining effectiveness
B3.4 Explain the effectiveness of various types of personal protective equipment (PPE) and
the factors to consider in selection of PPE.
Content
B3.1 The prevention and control of exposure to hazardous substances (including

carcinogens and mutagens)
 The requirement for prevention and adequate control of exposure to hazardous

substances (COSHH Regulation 7)
 The principles of good practice (COSHH, Schedule 2A), in order of priority (COSHH
Regulations 2002, Regulation 7):
- design and operate processes and activities to minimise emission, release and spread
of substances hazardous to health
- take into account all relevant routes of exposure – inhalation, skin absorption and
ingestion – when developing control measures
- control exposure by measures that are proportionate to the health risk
- choose the most effective and reliable control options which minimise the escape and
spread of substances hazardous to health
- where adequate control of exposure cannot be achieved by other means, provide, in
combination with other control measures, suitable personal protective equipment
- check and review regularly all elements of control measures for their continuing
effectiveness
- inform and train all employees on the hazards and risks from the substances with which
they work and the use of control measures developed to minimise the risks
- ensure that the introduction of control measures does not increase the overall risk to
health and safety
 The control of hazardous substances with reference to the hierarchy quoted in ‘Working
with substances hazardous to health (INDG136)’:
- eliminate the use of a harmful product or substance and use a safer one
- use a safer form of the product, ie, paste rather than powder
- change the process to emit less of the substance
- enclose the process so that the product does not escape
- extract emissions of the substance near the source
- have as few employees as possible in harm’s way
- provide appropriate personal protective equipment (PPE)
© NEBOSH 2016 51
 Adequate control of carcinogens and mutagens (as low as is reasonably practicable)

(COSHH, Regulation 7)
- total enclosure
- prohibition of eating and drinking in contaminated areas
- designation and cleaning of contaminated areas and use of suitable warning signs
- closed and labelled containers.
B3.2 The specific requirements for working with asbestos
 Identification of types of asbestos

 Distinctions between licensed, notifiable non-licensed and non-licensed asbestos work
 Typical locations where asbestos can be found
 The duty to manage asbestos, including the types of asbestos surveys and keeping
asbestos register/s
 The use of specialist contractors for removal and disposal of asbestos; checking
competence of specialist contractors
 The control limits for working with asbestos.
B3.3 Ventilation
 The uses and limitations of dilution ventilation for hazardous substances

 Roles and responsibilities in relation to Local Exhaust Ventilation (LEV):
- the LEV owner (employer, employee - process operator and routine checks)
- the LEV supplier (designer and installer)
- the LEV service provider (commissioner, maintenance engineer, examiner)
- overlap of roles
- competence requirements for each of the roles
- effective communication between all roles
 The typical components of an LEV and their function: hood (enclosing, receiving,
capturing), ducting, air cleaner/arrestor, air mover (engine/fan), discharge/exhaust
 Source strength (area from which the contaminant arises) and capture zones
 Thorough examinations of LEV
- the need for routine checks
- the legal requirements for examinations/inspections
- the competence of those carrying out the testing
- the frequency of testing
- understanding the risks from the system
- co-operation between employer and examiner
- the sources of information available to the examiner
- the equipment required for testing
- the three stages to carrying out testing
- report on LEV testing
- the interpretation of results and implementing recommendations.
© NEBOSH 2016 52
B3.4 Personal protective equipment
 The requirements of the Personal Protective Equipment at Work Regulations 1992 in

relation to hazardous substances
 The types of PPE for use with hazardous substances
 Respiratory protective equipment (RPE):
- the types of respirators and breathing apparatus and their applications and limitations
- the selection of RPE:
- atmosphere/substance-related factors: consideration of likely oxygen
deficiency (ie, BA vs respirator); the level of protection required
(significance of assigned protection factors); the type of filter required
(for respirators)
- task and work area related factors eg, work rate, duration; extremes of
temperature and/or humidity; criticality of clear vision, communications
and mobility; space constraints; tools used; presence of explosive
atmospheres
- wearer-related factors eg, fit/comfort/acceptability issues caused by
beards, face-marking, spectacles, compatibility with other protective
equipment or head coverings; medical conditions
- quality related factors - conformity with relevant standards
- face fit testing
 Skin and eye protection:
- types of skin and eye protection and their applications and limitations
- selection:
- substance-related factors eg, chemical compatibility, level of protection
required
- task-related factors eg, duration (breakthrough time); choice between
dexterity vs durability; choice of gloves vs gauntlets
- wearer-related factors eg, fit/comfort, compatibility, acceptability
- quality-related factors – conformity with relevant standards
 The storage and maintenance of PPE
 The need for training in the correct use of PPE.
© NEBOSH 2016 53
Element B4: The monitoring and measuring of hazardous

substances
Learning outcomes
B4.1 Explain how workplace exposure limits are used in the workplace
B4.2 Outline the methods for sampling of airborne contaminants
B4.3 Outline the principles of biological monitoring.
Content
B4.1 Workplace exposure limits (WELs)
 The concept of WELs

 The meaning of WELs
 How WELs are established: the work of the Advisory Committee on Toxic Substances
(ACTS) and other sub-committees; criteria used
 The status and use of EH40
 The significance in occupational health and hygiene practice of short-term and long-term
exposure limits (STEL, LTEL) and time-weighted average (TWA) values.
B4.2 Strategies, methods and equipment for the sampling and measurement of
airborne contaminants
 The role of the occupational hygienist; the competence of hygienist

 Interpreting a hygienist’s report, ensuring the strategy and methods are suitable and that
results are valid, reliable, representative and correctly evaluated relative to any exposure
standards
 Monitoring strategy (ref HSG173):
- initial appraisal
- basic survey
- detailed survey
- reappraisal
- routine monitoring and factors that determine the necessity and frequency (including
where this is mandatory – COSHH Regulation 10)
- the difference between static and personal monitoring
- the importance of using standard methods (MDHS series)
 Direct reading instruments (give immediate or near immediate reading); advantages and
disadvantages; stain tube (colour metric) detectors
 General equipment and methodology for personal sampling of solid particulates (fibres;
respirable and/or inhalable dusts):
- sampling heads (IOM*, cowl, protected, cyclone)
- pump (calibrated)
- measurement principles: dusts (gravimetric, physical and chemical analysis), fibres
(microscopy)
© NEBOSH 2016 54
 General equipment and methodology for personal sampling of vapours:

- active devices (eg, liquid or solid sorbents and pumps)
- passive devices
- measurement principles (chemical and physical analysis techniques such as
spectroscopy and chromatography)
 The calculation of 8 hour equivalent TWA exposures from gathered data (ie, sample mass,
pump flow rate and flow time); comparison with LTEL and evaluation of significance in
terms of further action needed.
B4.3 Biological monitoring
 The distinction between general health assessment and health surveillance

 The elements of the HSE health surveillance cycle (with reference to
http://www.hse.gov.uk/health-surveillance/assets/documents/health-surveillance-
cycle.pdf)
 The legal requirements for medical surveillance with reference to Control of Substances
Hazardous to Health Regulations, Control of Lead at Work Regulations, Control of
Asbestos Regulations and Ionising Radiation Regulations
 The legal requirements for keeping health records and medical records including issues of
confidentiality, sharing of information with the individual and others
 Biological monitoring (a form of health surveillance) personal sampling/monitoring, as
opposed to approximate airborne monitoring:
- the basic principles (with workplace examples)
- the circumstances where it is especially applicable
- the role of biological monitoring guidance values (in EH40)
- the relative advantages and disadvantages when compared to airborne monitoring
- statutory biological limits (eg, Control of Lead at Work Regulations, Regulation 10)
- blood-lead concentration and urinary-lead concentration action levels and suspension
levels.
* IOM – invented by the Institute of Occupational Medicine
© NEBOSH 2016 55
Element B5: Biological agents

Learning outcomes
B5.1 Explain the types and properties of biological agents found at work
B5.2 Explain the assessment and control of risk from deliberate and non-deliberate
exposure to biological agents at work.
Content
B5.1 Types and properties of biological agents
 The meaning of ‘biological agent’ with reference to the Control of Substances Hazardous
to Health Regulations 2002 (as amended)
 The main types of biological agent (fungi, bacteria, viruses, protozoa) and sources
(human, animal and environmental); with examples in each case
 The special properties of biological agents (rapid mutation, incubation period, infectious,
rapid multiplication)
 Zoonotic/Vector-borne diseases: occupational contexts, occurrence, symptoms, target
organs and control:
- Animal Influenza
- Cryptosporidiosis
- Malaria
- Psittacosis
 Biological agents: occupational contexts, occurrence, symptoms, target organs and
control:
- Blood-borne viruses ie, Hepatitis B, C, D and Human Immunodeficiency Virus (HIV)
- Legionella
- Leptospira
- Norovirus.
B5.2 The assessment and control of risk from exposure to deliberate and non-
deliberate biological agents
 Distinction between deliberate work (eg, in laboratories) vs. non-deliberate infection (eg,
farming, sewers, refuse collection)
 Purpose of the Approved List of Biological Agents
 Reportable diseases caused by biological agents (eg, needle-stick injuries)
 The factors to take into account in risk assessment:
- hazard category, (Groups 1, 2, 3 and 4 of COSHH Schedule 3)
- the criteria for categorisation
- the pathogenicity of the agent and infectious dose
- the activities and people at risk
- the likelihood and nature of resultant disease
- the modes of transmission with examples
- the stability of the agent in the environment
- the concentration and amounts
© NEBOSH 2016 56
- the presence of a suitable host (human or animal)

- data available (ie, animal studies)
- the nature of activity (ie, aerosol formation, genetic manipulations)
- the local availability of prophylaxis/treatment
 Special control measures required when working with biological agents (with reference to
COSHH Schedule 3, Part I(3).
© NEBOSH 2016 57
Element B6: Noise and vibration

Learning outcomes
B6.1 Explain the basic physical concepts relevant to noise

B6.2 Explain the effects of noise on the individual and the use of audiometry
B6.3 Explain the measurement and assessment of noise exposure
B6.4 Explain the principles and methods of controlling noise and noise exposure
B6.5 Explain the basic physical concepts relevant to vibration
B6.6 Explain the effects of vibration on the individual
B6.7 Explain the measurement and assessment of vibration exposure
B6.8 Explain the principles and methods of controlling vibration and vibration exposure.
Content
B6.1 The basic physical concepts relevant to noise
 The meaning of noise under the Control of Noise at Work Regulations 2005, with
workplace examples
 The basic concepts of sound:
- nature (progressive longitudinal wave, transmitted through the displacement of the
medium through which it travels)
- wave properties - wavelength, amplitude, frequency/pitch
- the concepts of sound pressure, sound intensity
- the decibel (dB) scale and its logarithmic nature (with workplace examples at different
sound levels)
- human auditory frequency sensitivity and the significance of A-weighting ‘dB(A)’ and C
weighting ‘dB(C)’, in relation to occupational noise exposure
 The concept of equivalent noise dose (LAeq, LEP,d, weekly and peak).
B6.2 Effects of noise on the individual
 The physiology of the ear in relation to the mechanism of hearing

 The physical and psychological effects on the individual; types of hearing loss with
reference to their significance in the workplace, the acute and chronic physiological effects
of exposure to high noise levels (ie, noise induced hearing loss, instantaneous hearing
loss, temporary threshold shift, permanent threshold shift, Tinnitus)
 Health surveillance:
- the legal requirements for audiometry as required by the Control of Noise at Work
Regulations 2005 and Controlling Noise at Work, Guidance on Regulations, L108
- the circumstances when it may be required (pre-employment, periodic, based on
findings of workplace assessments, following complaints etc)
© NEBOSH 2016 58
- the use of audiometry to measure hearing and hearing loss; method, interpretation and
the use of results (interpretation of audiograms), the advantages and disadvantages
of audiometry programmes including civil law implications of audiometry.
B6.3 The measurement and assessment of noise exposure
 Noise risk assessment to consider:

- the risk of hearing impairment, impairment of communications, fatigue
- the identification of sources, tasks
- the expected noise emission levels from equipment
- the expected time of exposure
- planning (who, how, where, how often)
- the types of instrumentation
- the importance of calibration
- the types of measurements to be taken
- the use of specialist noise consultants
- the interpretation and evaluation of results
- the use of noise calculators to determine mixed exposures
- comparison with legal limits to make control decisions.
B6.4 Controlling noise and noise exposure
 Legal requirements and duties to manage exposure to noise as required by Control of

Noise at Work Regulations 2005
 Lower and upper exposure action values, exposure limit values
 The hierarchy of noise control:
- eliminate/control at source (substitution, damping, workplace layout (eg, relocation of
all noisy equipment), re-design of equipment/task, maintenance, purchasing policy)
- control along transmission path:
- the behaviour of sound at interfaces – transmission, reflection,
absorption
- sound reduction indices and absorption coefficients and their use in
materials selection
- techniques of damping, isolation, diffusion, barriers, acoustic
enclosures, distance
- active noise cancellation
- control exposure at the receiver (acoustic havens, hearing protection zones, and PPE,
limiting exposure time, role of health surveillance (audiometry, referenced earlier)
 The selection, maintenance and use of appropriate hearing protection:
- the types of hearing protection
- the use of octave band analysis to aid selection of hearing protection and other control
measures
- SNR (single number rating) and HML (high, medium, low) methods
- the problems of over-protection.
© NEBOSH 2016 59
B6.5 The basic physical concepts relevant to vibration
 The meaning of vibration as defined in the Control of Vibration at Work Regulations 2005
 The basic concepts of displacement, velocity, amplitude, frequency and acceleration for
oscillating particles in relation to:
- occupational vibration exposure, with examples of machinery and their typical
emission levels
- comfort levels
- the concept of vibration dose A(8).
B6.6 The effects of vibration on the individual
 The groups of workers at risk from, and the physiological and ill-health effects of, exposure
to:
- whole body vibration (WBV)
- hand-arm vibration (HAV), including aggravating factors (eg, low temperatures,
smoking) and the use of the Stockholm scale to indicate severity.
B6.7 The measurement and assessment of vibration exposure
 Vibration risk assessment to consider:

- the risk of ill-health
- the results of health surveillance
- the identification of sources, tasks
- the expected vibration emission levels from equipment
- the expected time of exposure
- exposure to cold, nature of the vibration (WBV, HAV etc)
- planning (who, how, where, how often)
- instrumentation for carrying out vibration assessments
- the importance of calibration
- the types of measurements to be taken
- the use of specialist consultants
- the interpretation and evaluation of results
- the use of vibration calculators to determine mixed exposures
- comparison with legal limits to make control decisions.
B6.8 Controlling vibration and vibration exposure
 The legal requirements and duties to manage exposure to vibration as required by the
Control of Vibration at Work Regulations 2005
 Practical control measures to prevent or minimise exposure to both WBV and HAV
including:
- automation
- change of work method
- improved/alternative equipment
- purchasing policy
- maintenance
- job rotation
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- instruction/training
- the use and limitations of PPE.
© NEBOSH 2016 61
Element B7: Radiation

Learning outcomes
B7.1 Outline the nature of the different types of ionising and non-ionising radiation
B7.2 Explain the effects of exposure to non-ionising radiation, its measurement and control
B7.3 Outline the effects of exposure to ionising radiation, its measurement and control
B7.4 Outline the different sources of lasers found in the workplace, the classification of
lasers and the control measures.
Content
B7.1 The nature and different types of ionising and non-ionising radiation
 The distinction between ionising and non-ionising radiation

 The electromagnetic spectrum:
- Gamma ray, X-ray, optical (ie, ultraviolet (UV), visible, infra-red (IR)) and
radiofrequency (ie, microwaves, radio waves) with examples of origins and sources
(occupational and natural)
- electromagnetic (EM) wave properties - wavelength, frequency, energy
 Particulate radiation properties (alpha, beta, neutrons), with examples of origins and
sources (occupational and natural)
 The role of the International Commission for Radiological Protection, Public Health
England, Health Protection Scotland and the Environment Agency/Scottish Environment
Protection Agency and the Office for Nuclear Regulation.
B7.2 Non-ionising radiation
 Sources of non-ionising Radiation:

- workplace examples: leisure industry, manufacturing, healthcare, research,
telecommunications
- naturally occurring (sunlight): indoor / outdoor work
 The routes and effects of exposure, both acute and chronic:
- damage to eyes: early onset of cataract risk, photokeratitis and photoconjuctivitis (‘arc
eye’), photochemical damage to the retina (blue light hazard),
- damage to skin – reddening of the skin (erythema), burns, skin cancer
 The concept of exposure values and limits with examples ie, Specific Absorption Rate
values and limits
© NEBOSH 2016 62
 Radiation risk assessment to consider:

- sources of non-ionising radiation
- the comparison of measured exposure levels with exposure limits and values (where
applicable)
- the potential for misuse or misunderstanding of safety precautions
 The control measures to prevent or minimise exposure to non-ionising radiation both
generated in workplaces and naturally occurring including:
- design
- siting
- direction control
- reduction of stray fields/beams
- screening
- enclosures
- distance
- safe systems of work
- instructions
- training
- personal protective equipment
 General duties to manage exposure to non-ionising radiation as required by existing
legislation.
B7.3 Ionising radiation
 Sources of ionising radiation:

- workplace examples: manufacturing, healthcare, research, power generation
- naturally occurring: radon
 The units (mSv) and concepts of ionising radiation:
- radioactivity, half-life, absorbed dose, equivalent dose, effective dose, dose rates
 The routes and effects of exposure to each type of ionising radiation (alpha, beta, gamma,
x-rays, neutrons):
- somatic (early/acute, late/chronic)
- genetic
 The measurement and assessment of ionising radiation workers exposure:
- the use of passive dosimeters: thermoluminescent dosimeters (TLDs) to measure
whole body dose and extremity dose
- the use of active dosimeters: personal alarm dosimeters
- dose assessment and recording: approved dosimetry service, communicating
information to classified persons, record keeping
 Practical measures to prevent or minimise exposure to:

- external ionising radiation (shielding, distance, time)
- internal ionising radiation (preventing inhalation, ingestion, entry through the skin
including contaminated wounds and absorption through the skin)
 Legal requirements to minimise occupational exposure to ionising radiation as required by
Ionising Radiations Regulations 1999.
© NEBOSH 2016 63
B7.4 Lasers
 Typical laser sources in workplaces (entertainment, retail, manufacturing, healthcare,

research)
 Hazard classifications of lasers (British Standard BS EN 60825-1:2014), exposure limits
 The routes and effects of exposure to lasers:
- damage to the eyes from laser beams/IPL (intense pulsed light) including blindness
- damage to the skin – reddening of the skin (erythema) and burns
 The control measures to prevent or minimise exposure to lasers used in workplaces
including:
- design
- siting
- direction control
- reduction of stray beams
- screening
- enclosures
- distance
- safe system of work/instructions
- training
- PPE
 The legal requirements to manage exposure to lasers
 Role and competency of a “Laser Protection Adviser”.
© NEBOSH 2016 64
Element B8: Mental ill-health and dealing with violence

and aggression at work
Learning outcomes
B8.1 Explain the effects and causes of common types of mental ill-health within the
workplace
B8.2 Explain the identification and control of workplace mental ill-health with reference to
legal duties and other standards
B8.3 Explain the scope, effects and causes of work-related violence/aggression
B8.4 Explain the identification and control of work-related violence/aggression with
reference to legal duties.
Content
B8.1 The extent, effects and causes of mental ill-health at work
 The prevalence of mental ill-health within the workplace with reference to reportable and
self-reported sources of information
 The characteristics of common types of mental ill-health observed within the workplace
and their effects on an individual’s health and behaviour:
- depression
- anxiety
 The meaning of work-related stress
 The causes of work-related mental ill-health relating to organisation, job and individual:
- organisation of work: working hours, long hours, shift work, unpredictable hours,
changes in working hours
- workplace culture: communication, organisational structure, resources, support
- working environment: space, noise, temperature, lighting, etc
- job content: work load, time pressures, boredom, etc
- job role: clarity, conflict of interests, lack of control, etc
- relationships: bullying and harassment, verbal/physical abuse
- home-work interface: commuting, childcare issues, relocation, etc
 Recognition that common mental health problems found within the workplace are rarely
entirely due to work-related factors, but are a combination of a number of factors.
B8.2 The identification and control of work-related mental ill-health, legal duties and
standards
 Recognition that most people with mental health problems can continue to work effectively
and how this can be facilitated / supported by employers
 The identification and assessment of work-related mental ill-health at individual and
organisational level (eg, discussions, absence data, interviews, surveys, questionnaires,
etc)
 Practical control measures to reduce and manage work-related stress based on the HSE
management standards (including counselling and return to work policies)
© NEBOSH 2016 65
 The HSE stress management standards and their role in assessing and managing work
related stress (demand, control, support, relationships, role, change)
 Legal requirements for employers to manage work-related stress as part of criminal and
civil law with reference to relevant statutory provisions and case law examples, Sutherland
v Hatton and others [2002]; Walker v Northumberland County Council [1995]; Barber v
Somerset County Council [2004]; Intel Corporation (UK) Limited v Daw [2007].
B8.3 The scope, effects and causes of work-related violence/aggression
 The meaning of work-related violence/aggression (physical/verbal, actual harm and

threats)
 The physical and psychological effects of violence and aggression
 The prevalence/extent of work-related violence/aggression and consequences with
reference to reportable and self-reported sources (ie, RIDDOR, Crime Survey England
and Wales / Scottish Crime Survey / Northern Ireland Crime Survey):
- the difficulty of quantifying prevalence between reportable and non-reported sources
 The factors likely to increase the risk of work-related violence, eg, people working with the
public, the caring/teaching professions, working with psychiatric clients or alcohol/drug
impaired people, working alone, home visiting, handling money/valuables, inspection and
enforcement duties, retail and licensed trade
 The legal requirements for employers to manage work related violence as part of criminal
and civil law with reference to relevant statutory provisions and case law examples,
O’Toole v First Quench [2005]; Mitchell and Others v United
Co-operative Ltd [2012].
B8.4 The identification and control of workplace violence/aggression
 The identification and assessment of risks of work-related violence/aggression (eg, use of

staff surveys, incident reporting and risk assessment)
 The identification of practical control measures to reduce and manage work-related
violence/aggression including using physical, organisational and behavioural controls:
- cash free systems, the layout of public areas and the design of fixtures and fittings
- the use of cameras, protective screens, and security-coded doors
- communication systems, passing on information on risks from individual clients (violent
marker flags), recording of staff whereabouts and recognition when staff are overdue,
the use of mobile communications equipment phones, radios, GPS)
- staff training: recognition of situations where violence could result, interpersonal skills
to defuse aggression, the use of language and body language; guidance to staff on
dealing with an incident; support for staff post-incident including training in counselling
for managers
© NEBOSH 2016 66
Decided cases
 Sutherland v Hatton and others [2002] EWCA Civ76

 Walker v Northumberland County Council [1995] IRLR 35
 Barber v Somerset County Council [2004] UKHL 13
 Intel Corporation (UK) Limited v Daw [2007] EWCA Civ 70
 O’Toole v First Quench [2005]
 Mitchell and Others v United Co-operatives Ltd [2012]
© NEBOSH 2016 67
Element B9: Musculoskeletal risks and controls

Learning outcomes
B9.1 Outline types, causes and relevant workplace examples of injuries and ill-health
conditions associated with repetitive physical activities, manual handling and poor
posture
B9.2 Explain the assessment and control of risks from repetitive activities, manual handling
and poor posture.
Content
B9.1 The types, causes and examples of musculoskeletal injuries and ill-health
 Basic understanding of the human musculoskeletal system, including bones, tendons,

ligaments, nerves and muscles
 The types of injury and ill-health conditions resulting from repetitive physical activities,
manual handling and poor posture, including: WRULDs, musculoskeletal injury and
discomfort, back pain, eye and eyesight effects, fatigue, stress, sprains/strains, fractures,
lacerations
 Examples of jobs and workplace situations that give rise to risks of these injuries and ill-
health conditions, eg, production/assembly lines, working in restricted work spaces, use
of DSE, manual handling of objects and people.
B9.2 The assessment and control of risks from repetitive physical activities, manual
handling and poor posture
 The legal requirements to manage risks associated with repetitive physical activities,
manual handling and poor posture, with specific reference to duties under:
- Management of Health and Safety at Work Regulations 1999
- Manual Handling Operations Regulations 1992
- Health and Safety (Display Screen Equipment) Regulations 1993
- Workplace (Health, Safety and Welfare) Regulations 1992
 The principles of ergonomic design as applied to the control of musculoskeletal risks
 Consideration of: task, load, force, working environment, equipment, individual capability
when assessing risks associated with repetitive physical activities, manual handling and
poor posture
 The methods of assessing the risks associated with jobs/tasks involving repetitive physical
activities, manual handling and poor posture
 The appropriate application of the following assessment tools:
- HSE Manual Handling Assessment Tool (MAC)
- HSE Assessment tool for repetitive tasks of the upper limbs (ART)
- HSE Variable Manual Handling Assessment chart (V-MAC)
- appendices 3 and 4 to the HSE’s manual handling guidance (L23)
- appendix 5 (VDU checklist) from HSE guidance (L26)
- NIOSH Manual Material Handling (MMH) Checklist
- Rapid Upper Limb Assessment (RULA)
© NEBOSH 2016 68
 Practical control measures to avoid or minimise the risk associated with repetitive physical
activities, manual handling and poor posture including:
- elimination
- automation
- alternative work methods/job design
- ergonomic design of tools/equipment/workstations and workplaces
- job rotation
- work routine
- eye and eyesight testing
- training and information
- efficient movement principles
- personal considerations.
© NEBOSH 2016 69
Element B10: Work environment risks and controls

Learning outcomes
B10.1 Explain the need for, and factors involved in, the provision and maintenance of
temperature in both moderate and extreme thermal environments
B10.2 Explain the need for suitable and sufficient lighting in the workplace, units of
measurement of light and the assessment of lighting levels in the workplace
B10.3 Explain the need for welfare facilities and arrangements in fixed and temporary
workplaces
B10.4 Explain the requirements and provision for first aid in the workplace.
Content
B10.1 The need for, and factors involved in, the provision and maintenance of
temperature in both moderate and extreme thermal environments
 The importance of maintaining heat balance in the body

 The effects of working in high and low temperatures and humidity
 Typical work situations likely to lead to thermal discomfort
 The environmental parameters affecting thermal comfort (air temperature, radiant
temperature, relative humidity, air velocity)
 The meaning of thermal comfort and the legal duty to provide a ‘reasonable’ temperature
for inside workplaces
 Equipment for measuring environmental parameters: thermometers; dry bulb, wet bulb,
globe, anemometers, psychrometers, integrated electronic instruments including heat
stress monitors
 Other parameters affecting thermal comfort: metabolic rate, clothing, sweat rate, duration
of exposure
 The purpose of the heat stress index WBGT
 The practical control measures to minimise the risks when working in extreme thermal
environments:
- control heat source
- control other environmental parameters
- separation
- workplace design
- job design including job rotation
- providing hot/cold drinks
- clothing/PPE
- health surveillance
- training.
© NEBOSH 2016 70
B10.2 Suitable and sufficient lighting in the workplace, the units of measurement of
light and the assessment of lighting levels in the workplace
 Legal requirements for providing suitable and sufficient lighting in workplaces

 The necessity for lighting in workplaces
 The impact of lighting levels on safety issues – incorrect perception, failure to see clearly,
stroboscopic effects, colour assessment, effect on attitudes
 ‘Suitable and sufficient lighting’, natural and artificial lighting, emergency/backup
situations ie, failure of lighting in critical areas such as operating theatres
 The effects of brightness contrast – disabling and discomfort glare, eye damage from light
exposure, visual fatigue
 Instrumentation, units (Lux) and measurement of light, assessment of lighting levels and
standards; distinction between minimum lighting levels required for safety and higher
levels often implemented taking account of ie,, amenity, productivity, cost-effectiveness.
B10.3 Welfare facilities and arrangements in fixed and temporary workplaces
 The legal requirements for welfare facilities and arrangements in fixed and temporary
workplaces
 The provision of toilet, washing and changing facilities
 The storage of clothing
 Facilities for eating, rest rooms
 Facilities for pregnant women and nursing mothers, together with the practical
arrangements
 The provision of facilities for smokers, company vehicles, care homes and flats where
residents smoke
 The need to take account of disabled persons.
B10.4 The requirements and provision for first aid in the workplace
 Legal requirements for first aid in the workplace

 The basis of provision (numbers of employees, workplace risks and their assessment,
proximity of emergency services etc)
 Typical arrangements eg, people, equipment and training.
© NEBOSH 2016 71
Unit B: Tutor References

Directive 2013/35/EU on the minimum health and
safety requirements regarding the exposure of
European Directive 7
workers to the risks arising from physical agents
(electromagnetic fields) (or equivalent regulations)
Regulation (EC) No 1907/2006 concerning the
Registration, Evaluation, Authorisation and
European Regulation 2
Restriction of Chemicals (REACH), 18 December
2006 and subsequent amendments
Regulation (EC) No 1272/2008 on classification,
European Regulation 2, 3
labelling and packaging of substances and mixtures
Regulation (EU) 2016/425 on personal protective
European Regulation 3, 6
equipment at work
Control of Artificial Optical Radiation at Work

Regulations 2010
Control of Asbestos Regulations 2012 UK / Great Britain 3, 4
Control of Electromagnetic Fields at Work
Regulations 2016
Control of Lead at Work Regulations 2002 UK / Great Britain 4
Control of Noise at Work Regulations 2005 UK / Great Britain 6

Control of Substances Hazardous to Health
UK / Great Britain 2, 3, 4, 5
Control of Vibration at Work Regulations 2005 UK / Great Britain 6
Criminal Law Act 1967, section 3 (reasonable
force)
Employment Rights Act 1996 UK / Great Britain 8
Equality Act 2010 UK / Great Britain 1
Health and Safety at Work etc, Act 1974 UK / Great Britain 7

Health and Safety (Display Screen Equipment)
Health and Safety (First-Aid) Regulations 1981 (as
amended)
Ionising Radiations Regulations 1999 UK / Great Britain 4, 7
Regulations1999 (as amended)
Manual Handling Operations Regulations 1992 (as
amended)
Personal Protective Equipment at Work
Regulations 1992
Public Order Act 1986 UK / Great Britain 8
REACH Enforcement Regulations 2008 (as
amended)
Occurrences Regulations 2013
© NEBOSH 2016 72

Working Time Regulations 1988 UK / Great Britain 8
Workplace (Health, Safety and Welfare)
UK / Great Britain 7, 9, 10
Regulations 1992
Control of Asbestos Regulations (Northern Ireland)

2012
Control of Electromagnetic Fields at Work
Northern Ireland 7
Control of Lead at Work Regulations (Northern
Northern Ireland 4
Ireland) 2003
Control of Noise at Work Regulations (Northern
Northern Ireland 6
Ireland) 2006
Control of Substances Hazardous to Health
Northern Ireland 2, 3, 4, 5
Control of Vibration at Work Regulations (Northern
Northern Ireland 6
Ireland) 2005
Ionising Radiations Regulations (Northern Ireland)
2000
Northern Ireland 3
Northern Ireland 7
Inquiries into Fatal Accidents and Sudden Deaths

Scotland 3
etc. (Scotland) Act 2016

number
A healthy return, Good practice guide to IOSH, Link to A healthy return
1
rehabilitating people at work
HSE Books, ISBN: 978-0-7176-6502-0
Asbestos: The survey guide, HSG264 3
Link to HSG264
Assessment of Repetitive Tasks (ART)
Link to ART tool 9
Tool
Controlling airborne contaminants at
HSE Books, ISBN: 978-0-7176-6415-3
work; A guide to local exhaust ventilation 3
Link to HSG258
(LEV), HSG258
Controlling Noise at Work, The Control of
HSE Books, ISBN: 978-0-7176-6164-4
Noise at Work Regulations, Guidance on 6
Link to L108
Regulations, L108
Control of lead at work, Approved Code of HSE Books, ISBN: 978-0-7176-2565-6

4
Practice and guidance, L132 Link to L132
Control of Substances Hazardous to

HSE Books, ISBN: 978-0-7176-6582-2
Health, Approved Code of Practice and 2, 3, 4
Link to L5
guidance, L5
COSHH Essentials HSE, Link to COSHH Essentials 2, 3, 4
Drug misuse at work a guide for
HSE Books Link to INDG91 8
employers, INDG91
© NEBOSH 2016 73

number
EH40/2005 Workplace exposure limits (as HSE Books, ISBN: 978-0-7176-6446-7
4
amended) Link to EH40
Electromagnetic fields at work, A guide to
the Control of Electromagnetic Fields at HSE Books, Link to HSG281 7
Work Regulations, HSG281
Ergonomic Guidelines for Manual Material NIOSH Link to Manual Material
9
Handling Handling
First aid at work, Guidance on HSE Books, ISBN: 978-0-7176-6560-0
10
Regulations, L74 Link to L74
Globally Harmonized System of
Classification and Labelling of Chemicals Link to GHS 2
(GHS)
Guidance for Employers on the Control of
Artificial Optical Radiation at Work HSE Books, Link to AOR Guidance 7
Regulations (AOR) 2010
Hand-arm vibration, Control of Vibration at
HSE Books, ISBN: 978-0-7176-6125-1
Work Regulations 2005, Guidance on 6
Link to L140
Regulations, L140,
Hand-arm vibration exposure calculator HSE, Link to HAV calculator 6
HSE’s Health Surveillance Cycle Link to health surveillance cycle 4
HSE Stress Management Standards Link to stress management standards 8
Public Health England Link to Laser
Laser radiation: safety advice 7
radiation safety advice
Lighting at Work, HSG38, second edition HSE Books, ISBN: 978-0-7176-1232-1
10
1997 Link to HSG38
Managing asbestos in buildings: a brief
guide, INDG223(rev5)
Managing and working with asbestos,
Control of Asbestos Regulations 2012, HSE Books, ISBN: 978-0-7176-6618-8
3
Approved Code of Practice and guidance, Link to L143
L143
Managing skin exposure risks at work, HSE Books, ISBN: 978-0-7176-6649-2
2
HSG262 Link to HSG262
Managing the causes of work-related
HSE Books, ISBN: 978-0-7176-6273-9
stress; A step by step approach to using 8
Link to HSG218
the management standards, HSG218
Manual handling assessment charts
Link to MAC tool 9
(MAC Tool)
Manual Handling, Manual Handling
HSE Books, ISBN: 978-0-7176-6653-9
Operations Regulations 1992 (as 9
Link to L23
amended), Guidance on Regulations, L23
Methods for the Determination of
Link to MDHS 4
Hazardous Substances (MDHS) guidance
Monitoring strategies for toxic substances, HSE Books, ISBN: 978-0-7176-6188-6
4
Noise calculators HSE, Link to noise calculators 6
Personal protective equipment at work, HSE Books, ISBN: 978-0-7176-6597-6
3, 6
Guidance on Regulations, L25 Link to L25
Personal protective equipment (PPE) at
HSE Books, Link to INDG174 3, 6
work; A brief guide, INDG174
Public Health England, The UK reference
Link to Public Health England 7
site on radon from Public Health England
Radon in the workplace Link to HSE website: Radon 7
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number
Rapid Upper Limb Assessment Tool
Link to RULA 9
(RULA)
Respiratory protective equipment at work; HSE Books, ISBN: 978-0-7176-6454-2
3
A practical guide, HSG53 Link to HSG53
Safe, Effective, Quality Occupational
Link to SEQOHS 1
Health Service (SEQOHS)
Safety of laser products; equipment
classification and requirements ISBN: 978-0-580-77969-5 7
BS 60825-1:2014
Seating at Work, HSG57, third edition HSE Books, ISBN: 978-0-7176-1231-4
9
2002 Link to HSG57
HSE Books,
The law on VDUs – An Easy Guide,
ISBN: 978-0-7176-2602-1 9
HSG90
Link to HSG90
The health and safety toolbox, How to HSE Books, ISBN: 978-0-7176-6587-7
6, 9
control risks at work, HSG268 Link to HSG268
Understanding ergonomics at work,
HSE Books Link to INDG90 9
INDG90(rev2),
Upper Limb Disorders in the Workplace – HSE Books, ISBN: 978-0-7176-1978-8
9
A Guide, second edition 2002, HSG60 Link to HSG60
Variable manual handling assessment
Link to V-MAC tool 9
chart (V-MAC) tool
Violence at work: A guide for employers,
INDG69
Whole body vibration calculator HSE, Link to WBV calculator 6
Whole-body vibration; The Control of
HSE Books, ISBN: 978-0-7176-6126-8
Vibration at Work Regulations 2005, 6
Link to L141
Guidance on Regulations, L141
Workplace health, safety and welfare,
HSE Books, ISBN: 978-0-7176-0413-5
Workplace (Health, Safety and Welfare) 7, 9, 10
Link to L24
Regulations 1992, ACOP, L24
Work Related Upper Limb Disorders – A HSE Books, ISBN: 978-0-7176-1978-8
6
Guide, HSG60 Link to HSG60
Work with display screen equipment:
Health and Safety (Display Screen
Equipment) Regulations 1992 as
HSE Books, ISBN: 978-0-7176-2582-6
amended by the Health and Safety 9
Link to L26
(Miscellaneous Amendments)
Regulations 2002: Guidance on
Regulations, L26,
Working with ionising radiation, Approved HSE Books, ISBN: 978-0-7176-1746-3
7
Code of Practice and guidance, L121 Link to L121
Working with substances hazardous to
health, INDG136
Workplace health: long-term sickness
absence and incapacity to work, NICE Link to PH19 1
guidelines (PH19)
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Aim of the unit

This unit provides students with a thorough grounding in all major aspects of health and safety.
It aims to prepare students for a career in health and safety by providing them with the ability
to apply their knowledge and understanding of workplace and work equipment safety issues
in the workplace. In addition this knowledge and understanding prepares students for the
written question paper assessment in Unit C and the practical application (Unit DNI) which will
be carried out in their own workplace.
Element C1: Workplace welfare requirements and specific

workplace issues
Learning outcomes
C1.1 Explain the need for, and factors involved in, the provision and maintenance of a safe
working environment
C1.2 Explain the hazards, risks and control measures associated with work in confined
spaces
C1.3 Outline the main issues associated with maintaining structural safety of workplaces
C1.4 Explain the hazards, risks, and controls when working at height
C1.5 Explain the hazards, risks and controls for lone working.
Content
C1.1 Safe working environment

 Legal requirement to manage workplaces with reference to the Workplace (Health, Safety
and Welfare) Regulations 1992
 Practical considerations in providing and maintaining safe places of work and safe means
of access and egress; using safety signs ie, type of safety signs and the typical areas
where they would be used
 The design of surfaces to reduce slipping
 Coefficient of Friction (CoF), slip resistant testing of footwear and surfaces:
- effects of wetting
- different CoF between one surface and another
- effects of contamination on surfaces in terms of CoF
- methods for cleaning floors and the appropriate footwear to wear whilst cleaning
- the importance of good housekeeping.
C1.2 Confined spaces
 The meaning of confined spaces with reference to the Confined Spaces Regulations 1997
 Examples of where confined space entry may occur in the workplace eg, pits in garages,
trunking ducts, watercourses, trenches, tanks, silos, sewers
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 The factors to be considered when assessing risk: access arrangements; likely

atmospheres to be encountered (including oxygen enriched, oxygen depleted, toxic and
flammable); the task, materials and equipment; persons at risk; reliability of safeguards
(including personal protective equipment)
 The factors to be considered in designing safe working practices: operating procedures
and emergency policy/procedures; and training for work in confined spaces.
C1.3 Structural safety of workplaces
 Causes of damage to the structure of buildings: adverse weather conditions; overloading

of structures; hot and corrosive atmospheres; vibration; alteration to structural members;
subsidence; deterioration of building materials; excavations; and unauthorised
modifications to buildings
 Failure modes: possible causes of structural failures such as poor design, substandard
construction, cutting roof beams; puncturing holes through floors; removal of internal walls
can lead to collapse.
C1.4 Working at height
 The main hazards and risks, the alternatives to working at height, precautions and safe
working procedures for working at height in general workplaces (including rescue
measures)
 Hierarchy of control measures with reference to the Work at Height Regulations 2005:
- avoid working at height
- use an existing safe place of work
- provide work equipment to prevent falls (including MEWPS)
- mitigate the distance and consequences of a fall
- instruction and training and/or other means.
C1.5 Lone working
 The main hazards and risks

 Particular problems facing lone workers: medical conditions, training, supervision,
emergency procedures, lifting objects that are too heavy for one person, more than
one person needed to operate essential controls or transport
 Alternatives, precautions and safe working procedures for lone working
 Lone worker emergency devices and personal communications.
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Element C2: Fire and explosion

Learning outcomes
C2.1 Outline the properties of flammable and explosive materials and the mechanisms by
which they ignite
C2.2 Outline the behaviour of structural materials, buildings and building contents in a fire
C2.3 Outline the main principles and practices of prevention and protection against fire and
explosion.
Content
C2.1 Properties of flammable and explosive materials and the mechanisms by which
they ignite
 The properties of solids, liquids and gases with respect to influence on combustion
 The meaning of: flash point, fire point, auto-ignition temperature, vapour density, limits of
flammability, maximum explosion pressure, and rate of pressure rise; with examples of the
importance of these properties in relation to the initiation and propagation of fire and
explosion
 The fire triangle
 Ignition sources (eg, naked flame, hot surfaces, arcing, sparking, smoking, electrostatic
discharge)
 Mechanisms of explosions and mechanisms of fire-spread including:
- how an explosion/fire occurs
- the stages of combustion: induction, ignition, growth, steady state and decay
- mechanisms of unconfined vapour cloud explosions, confined vapour cloud explosions
and boiling liquid expanding vapour explosions
 The effects of atomisation/particle size and oxygen content on the likelihood and severity
of fire/explosion
 How failure of control measures coupled with the physico-chemical properties of
flammable materials can bring about an explosion
 The process of oxidisation and the effects of oxidising substances on fire and explosion
mechanisms
 Flammable atmospheres; how they arise and where they are found. Control measures for
entering flammable atmospheres, including purging to keep flammable atmospheres
below Lower Explosion Limits (LEL)
 The causes and effects of:
- unconfined vapour cloud explosion
- boiling liquid expanding vapour explosion (BLEVE)
- confined vapour cloud explosion
 The prevention and mitigation of vapour phase explosions; structural protection, plant
design and process control, segregation and storage of materials, hazardous area zoning,
inerting, explosion relief
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 Control of amount of material, prevention of release, control of ignition sources, sensing

of vapour between Lower Explosive Limit (LEL) and Upper Explosive Limit (UEL)
 Dust explosions:
- examples of industries/plant with potential dust explosion hazards (ie, food industry,
LEV)
- the mechanisms of dust explosions including the importance of combustible solid
particle size, dispersal, explosive concentrations, ignition, energy, temperature and
humidity
- the dust pentagon
- primary and secondary explosions
- the prevention and mitigation of dust explosions.
C2.2 The behaviour of structural materials, buildings and building contents in a fire
 The behaviour of building structures and materials in fire: fire properties of common
building materials and structural elements (eg, steel, concrete, wood); level of fire
resistance
 The behaviour of common building contents in fire (eg, paper-based, fabrics, plastics).
C2.3 Fire and explosion prevention and protection
 Structural protection (eg, openings and voids, compartmentation, fire-stopping)

 The key features of plant design and process control
 The segregation and storage of flammable, combustible and incompatible materials
 Hazardous area zoning, exclusion of ignition sources
 Inerting
 Methods of explosion relief: venting, explosion panels, bursting discs, suppression.
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Element C3: Workplace fire risk assessment

Learning outcomes
C3.1 Outline the main legal requirements for fire safety in the workplace
C3.2 Explain the processes involved in the identification of hazards and the assessment of
risk from fire
C3.3 Describe common fire detection and alarm systems and procedures
C3.4 Outline the factors to be considered when selecting fixed and portable fire-fighting
equipment for the various types of fire
C3.5 Outline the factors to be considered in providing and maintaining the means of escape
C3.6 Explain the purpose of, and essential requirements for, emergency evacuation
procedures.
Content
C3.1 Legal requirements

 The regulatory powers of a fire authority with respect to fire safety
 Dual enforcement by the HSE and Fire Authority
 The requirements of the Regulatory Reform (Fire Safety) Order 2005 (or alternative related
local Statutory Instrument eg, Fire Safety (Scotland) Regulations 2006, Fire Safety
Regulations (Northern Ireland) 2010)
 The purpose of the Building Regulations 2010 Approved Document B.
C3.2 The identification of hazards and the assessment of risk from fire
 The five steps to fire risk assessment:

- identify fire hazards; how could a fire start, what could burn (ie, common flammable
solids, liquids and gases)
- identify people at risk; including those especially at risk
- evaluate, remove, reduce (i.e. control of ignition, fuel and oxygen sources), and protect
from risk
- record, plan, inform, instruct and train
- review.
C3.3 Fire detection and alarm systems and procedures
 Common fire detection and alarm systems and procedures:

- factors in design and application of fire detection and alarm systems
- the principal components of alarm systems; detection and signalling
- manual and automatic systems.
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C3.4 Fixed and portable fire-fighting equipment
 Factors in design and application of fixed fire-fighting systems and equipment:

- classification of fires
- portable fire-fighting equipment
- extinguishing media and mode of action
- siting, maintenance and training requirements
- environment, including fire water runoff.
C3.5 Means of escape
 The factors to be considered in the provision and maintenance of a means of escape

 The general requirements for travel distances, stairs, passageways and doors, emergency
lighting, exit and directional signs
 Maintaining fire safety in communal areas.
C3.6 Emergency evacuation procedures
 The purposes of and essential requirements for, evacuation procedures and drills, alarm
evacuation and roll call
 The provision of Fire Wardens and their role
 Personal Emergency Evacuation Plans (PEEPs).
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Element C4: The storage, handling and processing of

dangerous substances
Learning outcomes
C4.1 Outline the main physical and chemical characteristics of industrial chemical processes
C4.2 Outline the main principles of the safe storage, handling and transport of dangerous
substances
C4.3 Outline the main principles of the design and use of electrical systems and equipment
in adverse or hazardous environments
C4.4 Explain the need for emergency planning, the typical organisational arrangements
needed for emergencies and relevant regulatory requirements.
Content
C4.1 Industrial chemical processes
 The effects of temperature, pressure and catalysts on rates of chemical reactions

 Heat of reaction in terms of exothermic and runaway reactions
 Examples of exothermic reaction (ie, combustion); example of runaway reaction (ie,
Bhopal, 1984)
 Methods of controlling exothermic and runaway reactions.
C4.2 The storage, handling and transport of dangerous substances
 The storage methods and quantities – bulk storage, intermediate storage, drum storage,
specific locations
 The storage of incompatible materials and their segregation requirements
 Leakage and spillage containment – bunding, problems encountered during filling and
transfer
 The storage and handling of dangerous substances:
- flow through pipelines
- the principles of filling and emptying containers
- the principles of dispensing, spraying and disposal of flammable liquids
- the dangers of electricity in hazardous areas
 The transport of dangerous substances:
- key safety principles in loading and unloading of tankers and tank containers
- labelling of vehicles and packaging of substances
- the importance of driver training programmes and the role of the Dangerous Goods
Safety Adviser under the Carriage of Dangerous Goods and Use of Transportable
Pressure Equipment Regulations 2009.
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C4.3 Hazardous environments
 The principles of: resistance to mechanical damage, protection against solid objects and
dusts, protection against liquids and gases
 Wet environments – including corrosion and degradation of installation and damage to
electrical equipment
 The principles of selection of electrical equipment for use in flammable atmospheres
 The classification of hazardous areas, zoning
 The use of permits-to-work
 The principles of pressurisation and purging
 Intrinsically safe equipment, flameproof equipment, type ‘N’ equipment, type ‘e’ equipment.
C4.4 Emergency planning
 The need for emergency preparedness within an organisation with reference to duties
under the Management of Health and Safety at Work Regulations 1999 and Control of
Major Accident Hazards Regulations 2015
 Consequence minimisation via emergency procedures; eg, first-aid/medical, fire
evacuation, spill containment
 The need to develop and prepare an emergency plan, including the content of both on-site
and off-site plans, for major emergency scenarios in order to meet regulatory requirements
 The role of external emergency services and local authorities in emergency planning and
control
 The need for the development of emergency plans in order to reduce the impact on the
organisation, including post-incident recovery
 The need for on-going monitoring and maintenance of emergency plans.
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Element C5: Work equipment

Learning outcomes
C5.1 Outline the criteria for the selection of suitable work equipment for particular tasks and
processes to eliminate or reduce risks
C5.2 Explain how risks to health and safety arising from the use of work equipment are
controlled
C5.3 Explain safe working procedures for the maintenance, inspection and testing of work
equipment according to the risks posed
C5.4 Explain the role of competence, training, information and supervision in the control of
risks arising from the installation, operation, maintenance and use of work equipment
C5.5 Outline the maintenance and prevention strategies when working with pressure
systems.
Content
C5.1 The selection of suitable equipment
 The suitability of work equipment for the required task, process and environment
 The suitability of the design, construction and adaptation of work equipment
 The means by which all forms of energy used or produced and all substances used or
produced can be supplied and/or removed in a safe manner
 Ergonomic, anthropometric and human reliability considerations in use of work equipment
including: the layout and operation of controls and emergency controls; and reducing the
need for access (automation, remote systems)
 The importance of size of openings; height of barriers; and distance from danger.
C5.2 Risks to health and safety arising from the use of work equipment
 The need for conducting risk assessments in the use of work equipment
 The risks associated with using work equipment which arise from its initial integrity, the
location where it will be used, and the purpose for which it will be used
 The risks associated with using work equipment which arise from its: incorrect installation
or re-installation; deterioration; or, exceptional circumstances which could affect the safe
operation of work equipment
 The risk control hierarchy relating to work equipment: eliminating the risks; taking
'hardware' (physical) measures (such as providing guards); taking appropriate 'software '
measures (such as following safe systems of work and providing information, instruction
and training).
© NEBOSH 2016 84
C5.3 Maintenance, inspection and testing
 The hazards and control measures associated with the maintenance of work equipment
 The three maintenance management strategies of: planned preventive; condition based;
and breakdown
 The factors to be considered in developing a planned maintenance programme for safety-
critical components
 The statutory duties for the maintenance of work equipment, including hired work
equipment
 The factors to be considered in determining inspection regimes having consideration of
the type of equipment; where it is used; and how it is used
 The need for functional testing of safety-related parts, including interlocks, protection
devices, controls and emergency controls
 The typical causes of failures – excessive stress, abnormal external loading, metal fatigue,
ductile failure, brittle fracture, buckling and corrosive failure
 The advantages and disadvantages of non-destructive testing.
C5.4 Competence, training, information and supervision in relation to work

equipment
 The difference between training and competence

 The circumstances when training is likely to be required including: induction; changes in
work activities; introduction of new technology or new equipment; changes in systems of
work; refresher training due to declining skills
 The groups of people having specific training needs including supervisors, young and
vulnerable persons
 The relationship between competence and supervision (external and self-supervision)
 The circumstances where there are specific training needs for certain hazardous types of
work equipment (including self-propelled work equipment, chainsaws, woodworking
machines, power presses, abrasive wheels)
 The scope of information required for the safe use and operation of work equipment
specifically: the conditions under which the work equipment may be used; foreseeable
abnormal situations and the action to be taken; and any conclusions to be drawn from
experience in usage
 The methods by which information and instructions regarding the operation and use of
work equipment can be easily understood by those concerned.
C5.5 Pressure systems
 Definition of a pressure system

 Types of inspection, frequencies and the statutory basis for examination of pressure
systems
 Prevention and testing strategies: design and construction, repair and modification,
information and marking, safe operating limits, written scheme of examination,
maintenance and record keeping, competent persons.
© NEBOSH 2016 85
© NEBOSH 2016 86
Element C6: Workplace machinery

Learning outcomes
C6.1 Outline the principles of safety integration and the considerations required in a general
workplace machinery risk assessment
C6.2 Outline the principal generic mechanical and non-mechanical hazards of general
workplace machinery
C6.3 Outline the main types of protective devices found on general workplace machinery
C6.4 Explain the principles of control associated with the maintenance of general workplace
machinery
C6.5 Explain the key safety characteristics of general workplace machinery control systems.
Content
C6.1 Safety integration and machinery risk assessment
 Definition of machinery
 The principles of safety integration from The Supply of Machinery (Safety) Regulations
2008:
- machinery must be designed and constructed to be fit for purpose and to eliminate or
reduce risks throughout the lifetime of the machinery including the phases of transport,
assembly, dismantling, disabling and scrapping
- the principles must be applied in order to eliminate or reduce risks as far as possible;
take necessary protective measures where risk cannot be eliminated; and inform users
of any residual risks
- when designing and constructing machinery and when drafting the instructions: use
and foreseeable misuse must be considered
- take account of operator constraints due to necessary or foreseeable use of personal
protective equipment
- machinery must be supplied with all the essentials to enable it to be adjusted,
maintained and used safely
 The factors to be considered when assessing risk: persons at risk, severity of possible
injury, probability of injury, need for access, duration of exposure, reliability of safeguards,
operating procedures and personnel
 The purpose of CE marking and the relevance and limitation of the CE mark; selection and
integration of work equipment in the workplace
 Conformity assessments, the use of harmonised standards, the technical file and the
declaration of conformity.
C6.2 Generic hazards
 Common machinery hazards in a range of general workplaces: drills (radial arm,

pedestal), circular saws, guillotines, disc sanders, abrasive wheels, lathes, automatic
doors and gates, mechanical and hydraulic presses, portable power tools, CNC machines,
robotics
 The types of generic machinery hazards:
© NEBOSH 2016 87
- mechanical hazards: crushing, shearing, cutting/severing, entanglement, drawing-

in/trapping, impact, stabbing/puncture/ejection, friction/abrasion, high pressure fluid
injection
- non-mechanical hazards: noise, vibration, electricity, high/low temperature, radiation,
hazardous substances.
C6.3 Protective devices
 The main types of safeguarding devices: characteristics, key features, limitations and
typical applications of fixed enclosed guards, fixed distance guards, interlocked guards,
automatic guards, trip devices, adjustable/self-adjusting guards, two-hand controls,
mechanical restraints, jigs and push-sticks.
C6.4 Maintenance
 The means by which machinery is safely set, cleaned and maintained including: safe
systems of work; permits; isolation; procedures for working at unguarded machinery
 The means by which machines are isolated from all energy sources.
C6.5 Machinery control systems
 The key safety characteristics of machinery control systems to include:

- making allowance for the failures, faults and constraints to be expected in the planned
circumstances of use; do not create any increased risk to health or safety; faults or
damage to the control system or the loss of energy supply must not result in additional
risk to health or safety; do not impede the operation of any stop/energy stop controls
- the controls for starting or making a significant change in operating conditions including
any change in speed, pressure or other operating condition
- stop controls readily accessible and leads to a safe condition
- emergency stop controls provided and to be readily accessible
- the position and marking of controls to be visible and identifiable
- the consideration of ergonomic principles.
© NEBOSH 2016 88
Element C7: Mobile, lifting, access and work at height

equipment
Learning outcomes
C7.1 Outline the main hazards and control measures associated with mobile work
equipment
C7.2 Outline the main hazards and control measures associated with lifting equipment
C7.3 Outline the main hazards and control measures associated with access equipment and
equipment for working at height.
Content
C7.1 Mobile work equipment: hazards and control measures
Hazards
 The applications of different types of mobile work equipment (self-propelled, towed,
attached, pedestrian-controlled and remotely-controlled) - to include lift trucks
(counterbalance, reach, rough terrain, telescopic materials handlers, side loading trucks,
pedestrian controlled trucks), agricultural tractors and works vehicles
 The hazards associated with mobile work equipment (rollover, overturning, suitability for
carrying passengers, unauthorised start-up, safe operating station/platform, excessive
speed, failure to stop, contact with wheels and tracks, falls of objects, moving parts/drive
shafts/power take-offs, over-heating)
 The hazards associated with the refuelling or charging (electrical, LPG, diesel) of mobile
work equipment
Control measures
 The control measures to be used in the use of mobile work equipment (self-propelled,
towed, attached, pedestrian-controlled and remotely-controlled), to include: lift trucks
(counterbalance, reach, rough terrain, telescopic materials handlers, side loading trucks,
pedestrian controlled trucks), agricultural tractors and works vehicles, including safe layout
of areas where mobile equipment is used and the protection of pedestrians and using lifting
plans
 Using lift trucks to move people – conditions and equipment necessary, other attachments
used on lift trucks
 The importance of roll-over protection, falling objects protection, speed control systems
(stopping and emergency braking), guards, barriers and restraining systems, means of
fire-fighting, vision aids (plane, angled and curved mirrors, Fresnel lenses, radar, CCTV)
 The requirements for training lift truck operators (basic, specific job training and
familiarisation).
C7.2 Lifting equipment: hazards and control measures
 The applications and types of different types of lifting equipment including cranes (mobile
cranes, tower cranes, overhead cranes) and hoists
 The hazards associated with cranes and lifting operations
© NEBOSH 2016 89
 The main hazards associated with using: hoists (gin wheel, construction site platform hoist)
and lifts (passenger and goods, scissor, vehicle inspection, MEWPs)
 The control measures when using: cranes (selection, siting, and stability of cranes); hoists
and lifts; integrity of lifting equipment; competence of personnel; maintenance, inspection;
and statutory examinations.
C7.3 Access and work at height equipment: hazards and control measures
 The applications and types of and different types of access and work at height equipment
including self-propelled, trailer and truck-mounted hydraulic lifts (MEWPs), booms, scissor
lifts, loaders and mobile work platforms
 The hazards arising from lack of mechanical strength of the carrier or lack of loading
control and control devices; hazards to persons on or in the carrier (movements of the
carrier, persons falling from the carrier, objects falling from the carrier); exceeding safe
working load/persons permitted
 The appropriate control measures for use of access and work at height equipment: space
and strength corresponding to the maximum number of persons and maximum working
load; fitted with a suspension or supporting system; controlled by persons in the carrier;
emergency stop devices; hold-to-run controls; preventing tilting if there is a risk of the
occupants falling; trapdoors open in a direction that eliminates any risk of falling; protective
roof if risk of falling objects endanger persons, marked with maximum number of persons
and maximum working load.
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Element C8: Electrical safety

Learning outcomes
C8.1 Outline the basic concepts of electricity

C8.2 Outline the hazards of electricity and static electricity
C8.3 Outline the issues relevant to the installation, use, inspection and maintenance of
electrical systems
C8.4 Outline the main principles for safe working in the vicinity of high voltage systems
C8.5 Outline the main hazards, risks and controls associated with the use of portable
electrical equipment.
Content
C8.1 Basic concepts of electricity

 Differences between Low and High Voltage
 Potential difference, current, resistance, impedance, Ohm’s law
 Basic electrical circuitry
 Earthing principles
 The difference between direct and alternating currents.
C8.2 Hazards of electricity and static electricity
 The effects of electric shock on the body: pain, muscular contraction, respiratory failure,
heart fibrillation, cardiac arrest, burns
 The factors influencing the severity of the effects of electric shock on the body: voltage,
frequency, duration, impedance/resistance, current path, direct and indirect shock
 Common causes of fires: overloading of conductors, overheating, ignition of flammable
vapour, ignition of combustible material, breakdown of insulation
 Electric arcs: molten metal splash and radiation
 Circumstances giving rise to the generation of static electricity
 Hazards and controls for static electricity.
C8.3 The installation, use and inspection of electrical systems
 The meaning of duty holders’ and ‘construction’ under the Electricity at Work Regulations
1989
 The importance of:
- strength and capability of electrical equipment
- insulation, protection and placing of conductors
- reducing the risk of shock
- excess current protection
- cutting off supply and isolation
- working space, access and lighting
© NEBOSH 2016 91
 Control measures:
- the selection and suitability of equipment
- protective systems: fuses, reduced voltage systems, isolation, residual current
devices, double insulation, earth free zones
 Inspection and maintenance strategy: user checks, formal visual inspections, combined
inspection and tests, records of maintenance and tests, frequency of inspection and
testing, competent persons, HSG107
 Relationship between BS 7671:2008 Requirements for Electrical Installations, IEE Wiring
Regulations 17th Edition (BS 7671: 2008) and The Electricity at Work Regulations 1989
 The importance of schemes of maintenance, schedules, plans and records
 Safe systems of work on installations made dead
 Safe systems of work and criteria of acceptability for live working
 The use of permits-to-work
 The meaning of ‘competent person’.
C8.4 Safe working in the vicinity of high voltage systems
 Common high voltage systems and the prevention of danger

 Competent and authorised persons role related to system modifications
 Safe systems of work, permit-to-work procedures
 Safe working near overhead power lines, underground cables – hazards and precautions
 High voltage glove working and live line overhead working.
C8.5 Portable electrical equipment
 Conditions and practices likely to lead to accidents, including unsuitable equipment,

inadequate maintenance, use of defective apparatus
 Electrical risks from portable appliances, eg, portable generators, arc/mig/tig welding etc
 Control measures, including portable appliance inspection and testing
 Aspects of supply to portable electrical equipment, eg, height of cables, siting of RCDs
etc.
© NEBOSH 2016 92
Element C9: Construction and works of a temporary

nature - hazards and controls
Learning outcomes
C9.1 Outline the scope and nature of construction activities

C9.2 Explain the scope and application of the Construction (Design and Management)
Regulations 2015 and associated guidance
C9.3 Explain the appropriate site control measures that should be adopted to protect
employees and others during construction work
C9.4 Outline the hazards and control measures associated with working at height from fixed
work or temporary platforms
C9.5 Explain the hazards and control measures, associated with demolition work
C9.6 Explain the hazards and control measures associated with excavation work.
Content
C9.1 The scope and nature of construction activities
 Types of work: building works: renovation; alteration; maintenance of existing premises

(occupied or unoccupied); civil engineering; works of engineering construction; and
demolition
 The range of activities, including: site clearance; demolition; dismantling; excavation;
loading, unloading and storage of materials; site movements; fabrication; decoration;
cleaning; installation; removal and maintenance of services (electricity, water, gas);
landscaping
 Particular construction issues relating to the: transitory nature of workers; temporary
nature of construction activities and the constantly changing workplace; fire arrangements;
time pressures from clients; weather conditions; levels of numeracy and literacy of
workers; non-English speaking workers.
C9.2 Scope and application of the Construction (Design and Management)

Regulations 2015 and associated guidance
 The scope of the Construction (Design and Management) Regulations 2015

 The particular duties under the Construction (Design and Management) Regulations 2015
and relevant guidance for clients, designers, principal designers, principal contractors,
contractors, workers and domestic clients in relation to:
- the appointment and competence required of relevant parties
- notification of projects
- the preparation of pre-construction information (including the purpose and
requirements)
- the construction phase plan (including the purpose and typical content of the plan)
- the provision of appropriate and relevant information to all parties
- the preparation of the health and safety file (including the purpose and typical content
of the file)
- the duties of domestic clients.
© NEBOSH 2016 93
C9.3 Protecting employees and others during construction work
 Site security (perimeter fencing, signs, safe viewing points, means of securing
plant/chemicals, means of controlling dangers such as mud on public highways)
 Arrangements (including site rules, cooperation, shared facilities, first aid and welfare
facilities)
 Arrangements for site inductions.
C9.4 Working at height from fixed or temporary platforms
 The hazards associated with working at height

 The safe use of temporary (immobile) access equipment including ladders, trestles,
scaffolds – simple independent and tower scaffolds
 The requirements for the erection, use and dismantling of scaffolds and falsework
 Inspection of working platforms above 2 metres (Regulation 12 Work at Height Regulations
2005)
 The hazards associated with falling materials and appropriate precautionary measures
 Safe methods for roof work: precautions during work on fragile roofs, edge protection for
flat and sloping roofs
 The means of temporary access: types and safety features of cradles, boatswains’ chairs,
rope access and positioning systems
 The use of personal and collective fall arrest devices (safety nets, airbags, belts and
harnesses).
C9.5 Demolition work
 The main techniques used in demolition of buildings and the associated hazards and
control measures with reference to:
- falling materials; premature collapse of buildings, materials of construction
- planning, structural surveys and surveys for hazardous substances, provision of
working places and means of access/egress, use of method statements and permits-
to-work, security of site boundaries and protection of the public.
C9.6 Excavations
 The hazards and controls associated with excavation work:

- collapse; access; falls of persons, objects and vehicles; use of transport; flooding
- buried services: types and consequences of damage
- the need for temporary shoring (drag boxes, piling)
- the methods for checking for buried services and the precautions to be observed
- the use of 3600 excavators
 The requirements for statutory inspections and examinations of excavations.
© NEBOSH 2016 94
Element C10: Workplace transport and managing work-

related road risk
Learning outcomes
C10.1 Outline the factors to be considered in a workplace transport risk assessment and the
controls available for managing workplace transport risk
C10.2 Outline the role and purpose of a work-related road risk policy and the key components
of a work-related road traffic safety management system.
Content
C10.1 Workplace transport risk assessment and risk controls
 The legal requirements under the Workplace (Health, Safety and Welfare) Regulations
1992 to manage workplace transport (including vehicles and pedestrians)
 The factors to be considered in a workplace transport risk assessment (including those
factors associated with shared workplaces)
 The reasons for providing information to all employees and visitors to site relating to
workplace transport issues
 Controlling risks from workplace transport with reference to HSG136 (A guide to workplace
transport safety):
- safe site:
- traffic route design
- activity
- safe vehicle
- safe driver
C10.2 Work-related road risk policy and components of a work-related road traffic
safety management system (RTSMS)
 Work-related road risk policy:

- role and purpose of the policy
- established and signed by ‘top management’
- typical content, including the policy being appropriate to the organisation
- communicating the policy to all relevant employees
- recording and review
 The reasons for the introduction of a road traffic safety management system and the
possible key elements/components (with reference to ISO 39001:2012 – Road traffic
safety (RTS) management systems):
- planning
- actions to address risks and opportunities
- identification of performance factors: risk exposure factors (distance travelled, road
traffic volume (major roads vs minor roads))
© NEBOSH 2016 95
- intermediate safety outcome factors: the use of appropriate roads (vehicle type and
cargo); the use of personal safety equipment (seat belts, motorcycle helmets etc);
safe speed limits; weather conditions; fitness of drivers; journey planning; the use
of road-worthy vehicles; employees authorised to drive; removal of unfit drivers and
vehicles; post-crash response (including recovery and rehabilitation)
- setting objectives
- support
- allocation of resources
- the use of competent drivers (based on appropriate education, training and
experience)
- make employees aware of the policy, their contribution to the effectiveness of the
policy/RTSMS, implications of individual non-compliance
- document information
- ensure relevant policies/procedures/information is documented
- control of documented information
- operation
- operational planning and control
- emergency preparedness and response
- performance evaluation
- monitoring, measurement, analysis and evaluation of the RTSMS
- accident investigation
- internal audit
- management review
- improvement
- non-conformity and corrective action
- continual improvement
 Benefits and limitations of a RTSMS.
© NEBOSH 2016 96
Unit C: Tutor References
Health and safety incidents

(reference to Element C2.1)
Buncefield (unconfined vapour cloud explosion) Link to Buncefield Report
Flixborough (unconfined vapour cloud explosion) Link to Flixborough accident summary
Mexico City (boiling liquid expanding vapour explosion – BLEVE) Link to Mexico City accident
summary
Hickson and Welch (confined vapour cloud explosion) Link to Hickson & Welch accident summary

Union Carbide, Bhopal http://www.bhopal.com/

Albright and Wilson, Avonmouth Link to Albright and Wilson accident summary

Directive 2014/68/EU on the marketing of pressure
EU Directive 5
equipment
Regulation (EC) No 1272/2008 on classification,
labelling and packaging of substances and mixtures European Regulation 4
(CLP)
Regulation (EU) 2016/425 on personal protective
European Regulation 1
equipment at work
Building Regulations 2010 (as amended) UK / Great Britain 3

Carriage of Dangerous Goods and Use of
Transportable Pressure Equipment Regulations UK / Great Britain 4
2009 (as amended)
Construction (Design and Management)
Regulations 2015
Confined Spaces Regulations 1997 UK / Great Britain 1
Control of Major Accident Hazards Regulations
2015
Controls on Dangerous Substances and
Preparations Regulations 2006 (as amended)
Dangerous Substances and Explosives
Atmospheres Regulations 2002
Dangerous Substances (Notification and Marking of
Sites) Regulations 1990 (as amended)
Deregulation Act 2015 (Section 6) UK / Great Britain 1, 9
Electricity at Work Regulations 1989 UK / Great Britain 8
Health and Safety at Work etc. Act 1974 UK / Great Britain 1, 9

Health and Safety (Safety Signs and Signals)
Regulations 1996
© NEBOSH 2016 97

Lifting Operations and Lifting Equipment
Regulations 1998
UK / Great Britain 1, 4, 5, 9
Regulations 1992
Provision and Use of Work Equipment Regulations
1998 (as amended)
Pressure Systems Safety Regulations 2000 UK / Great Britain 5
Regulatory Reform (Fire Safety) Order 2005 UK / Great Britain 3
Road Traffic Act 1988 and 1991 UK / Great Britain 10

Supply of Machinery (Safety) Regulations 2008 (as
amended)
The Work at Height Regulations 2005 (as
amended)
Regulations 1992
Carriage of Dangerous Goods and Use of

Transportable Pressure Equipment Regulations Northern Ireland 4
(Northern Ireland) 2010 (as amended)
Confined Spaces Regulations (Northern Ireland)
Northern Ireland 1
1999
Construction (Design and Management)
Northern Ireland 9
Control of Major Accident Hazards Regulations
(Northern Ireland) 2015
Dangerous Substances and Explosive
Northern Ireland 2, 4, 5
Atmospheres Regulations (Northern Ireland) 2003
Deregulation Act 2015 (Section 7) Northern Ireland 1, 9
Fire and Rescue Services (Northern Ireland) Order
Northern Ireland 3
2006
Fire Safety Regulations (Northern Ireland) 2010 Northern Ireland 3
Lifting Operations and Lifting Equipment
Northern Ireland 7
Northern Ireland 1, 4, 5, 9
Marketing and Use of Dangerous Substances
Northern Ireland 4
Provision and Use of Work Equipment Regulations
(Northern Ireland) 1993
Work at Height Regulations (Northern Ireland) 2005 Northern Ireland 1, 7, 9
Northern Ireland 1
Fire (Scotland) Act 2005 Scotland 3
Fire Safety (Scotland) Regulations 2006 Scotland 3
© NEBOSH 2016 98

number
A guide to workplace transport safety,
HSE Books, Link to HSG136 10
HSG136
Avoiding danger from overhead power
HSE Books, Link to GS6 8
lines, GS6
Avoiding danger from underground HSE Books, ISBN: 978-0-7176-6584-6
8
services, HSG47 Link to HSG47
BS ISO 39001:2012 Road traffic safety
(RTS) management systems – ISBN: 978-0-5806-6851-7 10
requirements with guidance for use
Building Regulations, Approved
Planning Portal Link to Approved
Document B – Fire Safety: Volume 2 – 3
Document B
Buildings other than dwelling houses
Buying new machinery, INDG271 HSE Books Link to INDG271 6
Controlling fire and explosion risks in the
workplace; A brief guide to the
HSE Books, Link to INDG370 2, 4
Dangerous substances and Explosive
Atmospheres Regulations, INDG370
Control of Major Accident Hazards
HSE Books, ISBN: 978-0-7176-6605-8
Regulations 2015, Guidance on 2
Link to L111
Regulations, L111
Dangerous Substances (Notification and
Marking of Sites) Regulations 1990 – A
brief guide on an amendment to the
Regulations 2013, INDG467
Driving at Work – Managing Work-Related HSE Books
10
Road Safety, INDG382 Link to INDG382
Electricity at Work – Safe Working HSE Books, ISBN: 978-0-7176-2164-4
8
Practices, HSG85 Link to HSG85
Emergency procedures, HSE website Link to emergency procedures 4
Fire Safety Risk Assessment series,
Communities and Local Government
1. ISBN: 978-1-8511-2815-0
Publications
2. ISBN: 978-1-8511-2816-7
1. Offices and shops
3. ISBN: 978-1-8511-2817-4
2. Factories and warehouses
4. ISBN: 978-1-8511-2818-1
3. Sleeping accommodation
5. ISBN: 978-1-8511-2819-8
4. Residential care premises
6. ISBN: 978-1-8511-2820-4
5. Educational premises 3
7. ISBN: 978-1-8511-2821-1
6. Small and medium places of assembly
8. ISBN: 978-1-8511-2822-8
7. Large places of assembly
9. ISBN: 978-1-8511-2823-5
8. Theatres, cinemas and similar
10. ISBN: 978-1-8511-2824-2
premises
11. ISBN: 978-1-8511-2825-9
9. Open air events and venues,
Link to Fire Risk Assessment series
10. Healthcare premises,
11. Transport premises and facilities
Globally Harmonized System of
Classification and Labelling of Chemicals Link to GHS 4
(GHS)
Health and Safety (Safety Signs and
HSE Books, ISBN: 978-0-7176-6359-0
Signals) Regulations 1996, Guidance on 1
Link to L64
regulations, second edition 2009, L64
IET Wiring Regulations 17th Edition (first BS7671: 2008+A1:2011, ISBN: 978-1-
8
amendment) 84919-269-9
Maintaining Portable and Transportable HSE Books, ISBN: 978-0-7176-2805-6
8
Electrical Equipment, HSG107 Link to HSG107
© NEBOSH 2016 99

number
Managing Health and Safety in
Construction, Construction (Design and HSE Books, ISBN: 978-0-7176-6623-3
9
Management) Regulations 2015, Link to L153
Guidance on regulations, L153
Memorandum of guidance on the
HSE Books, ISBN: 978-0-7176-6228-9
Electricity At Work Regulation 1989, 8
Link to HSR25
Guidance on Regulations, HSR25
Occupational Health Risk Management in IOSH/CONIAC/HSE Link to OH RM in
9
Construction Const
Personal protective equipment at work, HSE Books, ISBN: 978-0-7176-6597-6
3, 6
Guidance on Regulations, L25 Link to L25
Providing and using work equipment
safely, A brief guide, INDG291
Risk assessment, A brief guide to
controlling risks in the workplace, HSE Books, Link to INDG163 3
INDG163
Safe handling of combustible dusts: HSE Books, ISBN: 978-0-7176-2726-4
2
precautions against explosions, HSG103 Link to HSG103
Safe Use of Work Equipment, Approved HSE Books, ISBN: 978-0-7176-6619-5
5, 6, 10
Safe use of lifting equipment, Lifting
Operations and Lifting Equipment HSE Books, ISBN: 978-0-7176-1628-2
7, 9
Regulations 1998, Approved Code of Link to L113
Practice and Guidance, L113
Safe work in confined spaces, Approved HSE Books, ISBN: 978-0-7176-6622-5
1
HSE Books, ISBN: 978-0-7176-1781-4
Safety in Working with Lift Trucks, HSG6 7
Link to HSG6
Safety of pressure systems, Approved HSE Books, ISBN: 978-0-7176-6644-7
5
Storage of dangerous substances,
Dangerous Substances and Explosives
HSE Books, 978-0-7176-2200-9
Atmospheres Regulations 2002, 2
Link to L135
Approved Code of Practice and guidance,
L135
Supplying new machinery, INDG270 HSE Link to INDG270 6
The Construction (Design and Produced by CONIAC, published by
Management) Regulations 2015, Industry CITB, ISBN: 978-1-85751-389-9 Link 9
guidance for Clients to Client Guidance
The Construction (Design and produced by CONIAC, published by
Management) Regulations 2015, Industry CITB, ISBN 978-1-85751-390-5 Link to 9
guidance for Principal Designers Principal Designer Guidance
guidance for Designers Designer Guidance
guidance for Principal Contractors Principal Contractor Guidance
The Construction (Design and Produced by CONIAC, published by
Management) Regulations 2015, Industry CITB, ISBN: 978-1-85751-391-2 9
guidance for Contractors Link to Contractor Guidance
Management) Regulations 2015, Industry CITB, ISBN 978-1-85751-394-3 9
guidance for Workers Link to Worker Guidance
The health and safety toolbox, How to HSE Books, ISBN: 978-0-7176-6587-7 1, 3, 5, 6, 8,
control risks at work, HSG268 Link to HSG268 10
© NEBOSH 2016 100


number
The safe isolation of plant and equipment, HSE Books, ISBN: 978-0-7176-6171-8
8
Work at Height Regulations 2005 (as
HSE Books Link to INDG401 1, 7
amended) – A Brief Guide, INDG401
Working along, Health and safety
guidance on the risks of lone working, HSE Books, Link to INDG73 1
INDG73
Workplace health, safety and welfare,
HSE Books, ISBN: 978-0-7176-0413-5
Workplace (Health, Safety and Welfare) 1, 10
Link to L24
Regulations 1992, ACOP, L24
HSE Books,
Workplace Transport Safety – Guidance
ISBN: 978-0-7176-6154-1 10
for Employers, HSG136
Link to HSG136
© NEBOSH 2016 101

5.4 Unit DNI: Application of health and safety management

in the workplace
Aim of the unit
Unit DNI will enable students to demonstrate their ability by applying the knowledge and
understanding gained from their Unit A, B and C studies to a practical workplace situation.
Purpose and aim

The purpose of this Unit is for students to complete an assignment which will assess the
practical application of the knowledge and understanding gained from their studies of Units A,
B and C of the syllabus in a vocational setting.
The aim of the assignment is for students to carry out a review of the arrangements for
managing health and safety in a workplace and to produce justified, proportionate
recommendations to improve health and safety performance.
Students will be required to demonstrate their understanding of the role of a health and safety
practitioner and the adoption of a proportionate response to risk.
Content
Unit DNI contains no additional syllabus content. However, completion of study for Units A, B
and C is recommended in order to undertake the Unit DNI assignment. Accredited course
providers and students are reminded that Element A11 of Unit A will only be assessed in Unit
DNI.
Assignment brief
The student is required to carry out a review of the arrangements for managing health and
safety in a workplace and to produce justified, proportionate recommendations to improve
performance.
The assignment will require the student to apply the knowledge and understanding gained
from their studies of elements of Units A, B and C in a practical environment and to carry out
critical analysis and evaluation of information gathered during the review.
The assignment should include the following.
 An introduction that sets the scene by stating clear aims and objectives and a
description of the methodology used to carry out the assignment. The introduction
should also include a description of the chosen workplace and the role of the health
and safety practitioner to set a context for the assignment.
 A critical analysis of how health and safety is currently managed by the organisation in
which the student reviews leadership, management, worker involvement, competence,
legal compliance and risk profile.
 An evaluation based on the review, of where improvements should be made.
 Conclusions which summarise the main issues identified.
 Justified, proportionate, recommendations based on the outcome of the review.
 An executive summary.
© NEBOSH 2016 102

 References / Bibliography
 Appendices.
Assessment location
The Unit DNI assignment must be carried out in the student’s own workplace. Where the
student does not have access to a suitable workplace, the accredited course provider should
be consulted to help in making arrangements for the student to carry out the assignment at
suitable premises.
Students do not require supervision when carrying out the assignment, but the student must
sign a declaration that Unit DNI is their own work.
Students and employers should be aware that the status of the report undertaken to fulfil the
requirements of Unit DNI is for educational purposes only. It does not constitute an
assessment for the purposes of any legislation, regulations, or standards.
Submission of completed work

Assignment reports should be submitted before the set submission date; there are four
submission dates each year in February, May, August and November.
The actual dates will be published by NEBOSH annually. Students intending to submit an
assignment must register through their accredited course provider using the appropriate form
and paying the appropriate fee. On registration students will receive a submission form which
must accompany the assignment.
Assignments must be submitted electronically directly to NEBOSH. Students are strongly

advised to keep a copy of their assignment report.
No refund of fees will be made in cases where assignments are rejected or where students
register but fail to submit.
Marking
The Unit DNI assignment is marked by appropriately qualified Examiners appointed by
NEBOSH. Students must achieve the pass standard (50%) in Unit DNI in order to satisfy the
criteria for the qualification.
Further information
Further detailed information regarding Unit DNI including forms and mark schemes will be
produced in a separate guidance document for students and accredited course providers
available from the NEBOSH website (www.nebosh.org.uk): ‘Unit DNI Assignment guidance
and information for students’.
© NEBOSH 2016 103

5. Sample question papers

THE NATIONAL EXAMINATION BOARD IN
OCCUPATIONAL SAFETY AND HEALTH
NEBOSH NATIONAL DIPLOMA IN

OCCUPATIONAL HEALTH AND SAFETY
[DATE]
3 hours, 0930 to 1230
10 minutes reading time is allowed before the start of this examination. You may not write anything during
this period.
Answer both Section A and Section B
SECTION A
This section contains six questions. Answer ALL SIX questions.

All questions carry equal marks.
The maximum marks for each question, or part of a question, are shown in brackets.
You are advised to spend about 15 minutes on each question.
Start each answer on a new page.
1 Outline, with appropriate examples, the key features of the following risk
management concepts:
(a) risk avoidance; (2)
(b) risk reduction; (2)
(c) risk transfer; (3)
(d) risk retention. (3)
© NEBOSH 2016 104

2 The following table shows the number of lost-time accidents recorded at
two organisations involved in similar manufacturing processes. The
figures in brackets show the average numbers of employees at each
organisation for the year in question.
Year Organisation A Organisation B

2005 22 (2500) 8 (250)
2006 24 (2450) 8 (265)
2007 31 (2300) 8 (300)
2008 30 (2100) 7 (340)
(a) Calculate AND compare the annual lost-time accident incidence

rates for the two organisations for the years shown AND
comment on any trends. (5)
(b) Outline any possible limitations with the data itself, or the way
that it is collected, that might make direct comparisons of the rates
at the two organisations unreliable or misleading. (5)
3 (a) Outline reasons for establishing effective consultation

arrangements with employees on health and safety matters in the
workplace. (4)
(b) Outline a range of formal and informal consultation arrangements

that may contribute to effective consultation on health and safety
matters in the workplace. (6)
4 A risk assessment has identified the need to introduce a safe system of

work for cleaning some moving machinery. The system proposed would
allow the machinery to be cleaned by the operator whilst it was running at
normal speed with the guards removed. This would present a risk of
injury from the moving parts. To reduce this risk it is proposed that the
cleaning is undertaken with a long-handled device which would enable
the operator’s hands to be kept away from the moving parts.
(a) Outline the extent to which the proposed system of work meets
the ‘general principles of prevention’ referred to in Regulation 4
and Schedule 1 of the Management of Health and Safety at Work
Regulations 1999. Your answer should refer to the specific
‘general principles of prevention’ which are relevant to this
scenario. (5)
(b) Outline the steps that an organisation should take to ensure the
effective implementation of a new safe system of work, assuming
that a detailed risk assessment has already been undertaken. (5)
© NEBOSH 2016 105

5 Human failure was identified as a significant factor in an accident
involving a crane. An employee was seriously injured when struck by
material being transported by the crane.
Outline the types of human failure which may have contributed to the
accident AND in EACH case give examples relevant to the scenario to
illustrate your answer. (10)
6 (a) Outline potential costs to an organisation if a health and safety

management system is not implemented effectively. (7)
(b) Outline the meaning of the terms ‘insured’ AND ‘uninsured’ costs
of accidents, clearly showing the relative size of these two costs
as demonstrated by accident costing studies. (3)
SECTION B
This section contains five questions. Answer THREE questions only.

7 An organisation proposes 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 ‘qualitative risk assessment’ AND ‘quantitative

risk assessment’. (5)
(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. (5)
(c) As a preliminary part of the risk assessment process, a hazard and

operability study is to be carried out.
Describe the principles and methodology of a hazard and

operability (HAZOP) study. (10)
© NEBOSH 2016 106

8 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 reasons why the accident should be investigated. (4)
(b) The initial responses of reporting and securing the scene of the
accident have been carried out.
Outline the actions which should be taken in order to collect

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

and implementing such a system. (8)
9 An employee suffered a fractured skull when he fell 3 metres from storage

racking as he was loading cartons on to a pallet held on the forks of a lift
truck. An investigation revealed that, despite a safe system of work having
been written and provided to employees some months previously, it had
become common practice for employees to be lifted up on the forks and
for them to climb up the outside of the racking. Employees stated that they
could not understand the written safe system of work but admitted that
they had not brought this to their employer’s attention.
(a) Outline possible relevant breaches of the Health and Safety at

Work etc Act 1974 AND the Management of Health and Safety at
Work Regulations 1999. (10)
(b) The injured employee intends to bring a negligence claim (delict in

Scotland) against his employer. With reference to relevant case
law, outline what the employee will need to show in order for his
claim to succeed. (6)
(c) Shortly after the injured employee brings his negligence claim, he
is dismissed for ‘a serious breach of safety rules’. The injured
employee considers this to be unfair and so decides to bring
further proceedings, this time for unfair dismissal.
(i) Identify the body that would hear such a claim. (1)
(ii) Outline the orders that could be made if the injured

employee wins his dismissal case. (3)
© NEBOSH 2016 107

10 (a) Explain the difference between:
(i) common law and statute law; (4)
(ii) civil law and criminal law. (6)
(b) Employers have a duty under common law to take reasonable

care to ensure the safety of their employees.
Referring to relevant case law where appropriate, outline the

nature of this duty in terms of:
(i) safe plant and equipment; (6)
(ii) safe places of work. (4)
11 As the Health and Safety Adviser to a large organisation, you have

decided to develop and introduce an in-house auditing programme to
assess the effectiveness of the organisation’s health and safety
management arrangements.
Describe the organisational and planning issues to be addressed in the

development of the audit programme.
You do not need to consider the specific factors to be audited. (20)
© NEBOSH 2016 108

5.2 Unit B: Hazardous agents in the workplace


Unit B: Hazardous agents in the workplace
[DATE]
3 hours, 0930 to 1230
this period.
SECTION A

1 A grounds maintenance contractor is selecting eye protection to wear

during grass strimming.
(a) Describe the specific features of the eye protection that is

required for this task. (7)
(b) Outline arrangements that the grounds maintenance contractor

should put in place when the selected eye protection is in use. (3)
2 (a) Outline the nature and properties of alpha particles. (4)
(b) Outline the principles that could be used to control exposure to

alpha particles. (6)
© NEBOSH 2016 109

3 (a) Identify the possible range of specialists involved in Occupational

Health provision in a large manufacturing company. (5)
(b) Outline the specific activities that occupational health specialists

could undertake as part of a programme to reduce accidents and
absences relating to manual handling. For EACH activity identify
the most appropriate occupational specialist to undertake the
activity. (5)
4 A welder undertakes work in an open plan workshop.
Outline the factors to be considered when selecting suitable Respiratory

Protective Equipment for this work. (10)
5 The Workplace (Health, Safety and Welfare) Regulations 1992 require

‘suitable and sufficient’ washing facilities to be provided at ‘readily
accessible places’.
(a) Outline features of the washing facilities that determine if they are
suitable. (7)
(b) Outline other welfare requirements of The Workplace (Health,

Safety and Welfare) Regulations 1992. (3)
6 Construction workers often spend much of their time working outdoors

where they are exposed to naturally occurring ultra-violet (UV) radiation.
(a) (i) Identify the acute effects that could result from exposure
to UV radiation. (2)
(ii) Identify the chronic effects that could result from exposure
to UV radiation. (2)
(b) Explain measures that the workers can take to reduce the risks
associated with their exposure to UV radiation. (6)
© NEBOSH 2016 110

SECTION B

7 A parcel sorting depot is experiencing a high number of manual handling

related injuries. The employees handle a large number of different
parcels and packages each day.
(a) Identify the different types of hazard that may be inherent in the
loads being handled. (6)
(b) In order to reduce the level of manual handling required, the

employer has decided to invest in a range of non-powered
handling devices such as trolleys and trucks.
Outline factors the employer should consider when selecting

suitable devices. (10)
(c) Outline a range of additional control measures that could be

introduced to minimise the risks associated with these manual
handling activities. (4)
8 (a) Outline the role of a prospective cohort study, as used in

epidemiology. (4)
(b) National public health monitoring has recorded several hundred

cases of an illness. In at least half the cases the cause has been
confirmed, by laboratory tests, as a new strain of virus.
Outline the possible data AND data sources that could be used
for a prospective cohort study of this outbreak. (10)
(c) Outline factors that may affect the reliability of such cohort
studies. (6)
9 A company that operates hotels and health spas recognises the risks
associated with the legionella bacteria.
(a) Identify specific locations where there may be growth of, or

potential exposure to, legionella for employees AND guests. (5)
© NEBOSH 2016 111

(b) Outline the control measures that this company should implement
to minimise exposure to legionella bacteria. (15)
10 A small printing organisation operates a number of printing machines that

are located in an Open-plan workshop. Following a noise survey the
organisation discovers that its employees are being exposed to noise
levels of 86 dB(A) LEP,d.
(a) Outline the significance of this noise level to an employer. (5)
(b) Describe a range of technical AND organisational control

measures that could be introduced. (15)
11 A manufacturing process involves the use of three organic solvents,

exposure to which is controlled by local exhaust ventilation (LEV) and
personal protective equipment. The LEV system is regularly inspected
and is subject to thorough examination and testing on an annual basis.
(a) Outline how the exposure of the process workers to solvent

vapours could be assessed. (10)
(b) Outline how the data obtained could be used to determine if the
exposure of the process workers to the solvents is adequately
controlled. (10)
© NEBOSH 2016 112

(February 2010 specification)


Unit C: Workplace and work equipment
[DATE]
3 hours, 0930 to 1230
this period.
SECTION A

1 Outline the main design features of a warehouse and associated traffic

routes intended to reduce the risks associated with internal transport. (10)
2 Senior management in a large food processing plant are concerned at the

increasing cost of the planned preventive maintenance programme that is
currently used to maintain the equipment in the plant.
Outline the following two types of maintenance that could be considered

as a replacement to the planned preventive maintenance programme,
justifying reasons for the replacement:
(a) breakdown maintenance; (5)
(b) condition-based maintenance. (5)
© NEBOSH 2016 113

3 (a) Identify features of floor design that help to reduce the risk of
slipping. (
4)
(b) Explain the meaning of the term ‘Coefficient of Friction’. (4)
(c) Explain the relevance of Wet Coefficient of Friction to accident

prevention. (2)
4 A large food processing factory has a range of new and older production
machines of varying condition.
Identify AND explain the three main maintenance strategies that are
available to the employer. (10)
5 The owners of a large distribution warehouse business have secured a

contract from a stationery manufacturer. Their insurers have recommended
that the proposed storage facility is sprinkler protected.
Outline the factors to be considered in providing an adequate sprinkler

system for the storage facility. (10)
6 With reference to the mechanical hazards associated with the operation of

a hydraulic robotic arm on a production line, outline a range of measures
aimed at minimising the risk of injury. (10)
© NEBOSH 2016 114

SECTION B

7 A rectangular warehouse building (40m x 100m ground area and 18m

high) was constructed on a structural steel framework, with a flat roof and
coated steel walls. During a winter storm, the warehouse suffered a
catastrophic failure of one of its long walls which in turn caused
collapse of the roof and buckling of the other walls.
(a) Outline the possible causes of this structural failure. (10)
(b) Outline the health and safety issues to be considered when

planning the subsequent demolition of the damaged
warehouse. (10)
8 (a) Outline a range of factors that may cause instability of a mobile

crane. (8)
(b) Outline control measures that should be taken to reduce the

likelihood of a mobile crane overturning during a lifting
operation. (12)
9 A three-storey building is situated with one side fronting on to a

pedestrian walkway. The building is to undergo extensive maintenance
to the external fabric which includes a sloping roof. Outline:
(a) the health and safety issues of the work that will need to be
considered before work starts; (11)
(b) the features of a scaffold designed to provide a safe place of work

for working at height during the maintenance activity. (9)
10 Outline the precautions that can be taken to minimise the risks

associated with a cable strike when excavating near underground
electrical cables. (20)
11 An enclosed reactor vessel 30 metres high with a diameter of 10 metres

needs cleaning, inspection and repair. The reactor was previously used
© NEBOSH 2016 115

for reacting flammable solids and gases that formed a toxic, acidic
product.
It is not possible to avoid entry and the relevant personnel are suitably fit,
trained, informed and supervised.
Outline additional arrangements that should be considered in order to

comply with the Confined Spaces Regulations 1997. (20)
© NEBOSH 2016 116

The National Examination
Board in Occupational
Safety and Health
Dominus Way
Meridian Business Park
Leicester LE19 1QW
telephone +44 (0)116 2634700

fax +44 (0)116 2824000
email [email protected]
www.nebosh.org.uk

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November 2015

Qualification title: National Diploma in Occupational Health and Safety

The National Examination Board in Occupational Safety and Health (NEBOSH),

Registered Charity Number: 1010444

Telephone: +44 (0) 116 263 4700

4. Notes for tutors

5.1 Unit A: Managing health and safety

5.2 Unit B: Hazardous substances / agents

5.3 Unit C: Workplace and work equipment safety

1.1 Benefits for employers

 142 people killed at work;

 586 cases were prosecuted by the HSE in England and Wales;

1.2 Designatory letters

1.3 Professional membership

1.4 Qualification level and UK accreditation

1.5 Key topics covered

 Managing health and safety

 Workplace and work equipment safety

1.6 Course tuition and private study time requirements

1.7 Entry requirements

1.8 Minimum standard of English required for students

1.10 Legislative updates

1.11 National Occupational Standards (NOS) and best practice

1.12 Qualification type

In Scotland, VRQs are known as ‘Other accredited qualifications’.

1.13 Qualification progression

Further information can be found on our website: www.nebosh.org.uk/qualifications

1.14 Programmes offered by NEBOSH-accredited course providers

1.15 Examination dates

‘On-demand’ examinations are not available for this qualification.

1.16 Specification date

1.17 Syllabus development and review

1.18 Further information for students

1.19 Further information for accredited course providers

2.2 Common unit and exemption

2.3 Unit assessments

Unit A: Managing health and safety

 Unit A is a taught unit which is assessed by a 3-hour written examination

Unit B: Hazardous substances/agents

 Unit B is a taught unit which is assessed by a 3-hour written examination

Unit C: Workplace and work equipment safety

 Unit C is a taught unit which is assessed by a 3-hour written examination

Unit DNI: Application of health and safety management in the workplace

 Unit DNI consists of a written assignment set by NEBOSH

2.4 Assessment setting and marking

2.5 Unit pass standards

2.6 Unit certificates

2.7 Qualification grade

Distinction 280 or more

2.8 Qualification parchment

2.9 Re-sitting unit/s

3.2 Requests for special consideration

3.3 Enquiries about results and appeals

4. Notes for tutors

4.1 Case studies / past incidents

The case studies/past incidents will not be examinable.

4.2 Decided cases

4.3 Tutor references

4.4 Teaching of units

4.5 Conflict of interest