NEBOSH National General Certificate Risk Assessment and Incident Management Syllabus

What is the correct order of the general hierarchy of control measures?

Elimination, substitution, engineering controls, administrative controls (safe systems of work, training, signage), and personal protective equipment (PPE) as the last resort.

Why is PPE considered the last resort in the hierarchy of control?

It only protects the wearer (not others), relies on correct use and fit, can fail or be uncomfortable, does nothing to remove the hazard, and is the least reliable because it depends on human behaviour.

Within the General Principles of Prevention, why give collective protective measures priority over individual ones?

Collective measures (e.g. guard rails, local exhaust ventilation) protect everyone in the area automatically and do not depend on individual behaviour, whereas individual measures like PPE only protect the single wearer.

Define a 'safe system of work' (SSW).

A formal, systematic examination of a task that identifies the hazards and defines safe methods to ensure the task is carried out without risk to health and safety, integrating people, equipment, materials and the environment.

What four elements should be considered when developing a safe system of work?

Safe person, safe equipment/tools, safe materials, and safe environment (sometimes summarised as people, equipment, materials and the workplace/environment).

What does the acronym SREDIM stand for in job/task analysis for a safe system of work?

Select the task, Record the steps, Evaluate the risks, Develop the safe system, Implement the system, and Monitor the system.

Distinguish between a technical, procedural and behavioural control in a safe system of work.

Technical controls apply to the equipment/plant (guarding, ventilation); procedural controls define how the work is carried out (sequence, permits, methods); behavioural controls relate to how people behave and act (training, supervision, attitude).

Define a permit-to-work (PTW) system.

A formal, documented procedure that authorises certain high-risk work to be carried out safely, specifying the work, the precautions, the time limits, and requiring sign-off before work starts and on completion.

Give four examples of work that typically requires a permit-to-work.

Hot work, entry into confined spaces, work on or near live electrical systems, and work on pressurised or hazardous-substance pipelines/equipment (also excavation and work at height in some cases).

State the four main sections/stages of a typical permit-to-work.

1) Issue (description of work, hazards and precautions, authorisation). 2) Receipt/acceptance by the worker. 3) Clearance/return to service on completion. 4) Cancellation by the authorising person.

Why must a permit-to-work specify a time limit and be cancelled on completion?

To ensure controls remain valid only while conditions are safe, to prevent work continuing beyond safe limits or after shift changes, and to formally confirm the area is safe before equipment is returned to normal use.

What is the purpose of emergency procedures in the workplace?

To ensure a planned, controlled response to foreseeable emergencies (fire, explosion, chemical release, etc.) that protects life, limits harm and damage, and enables safe evacuation and rescue.

List four factors to consider when developing workplace emergency procedures.

Foreseeable emergencies, raising the alarm, means of escape and assembly points, roles/responsibilities (e.g. wardens), provision for vulnerable persons, contacting emergency services, and training/drills.

What three main factors determine the level of first-aid provision required in a workplace?

The nature of the work and hazards present, the size of the organisation/number of employees, and the history of accidents (plus factors like remoteness, shift patterns and the spread/location of the workforce).

What is the difference between an 'appointed person' and a 'first aider'?

An appointed person takes charge in an emergency (calls help, looks after equipment) but has no formal training; a first aider holds a current valid first-aid certificate (e.g. FAW/EFAW) qualifying them to give first-aid treatment.

State four reasons for investigating workplace incidents.

To identify the immediate and root causes, prevent recurrence, meet legal requirements, identify failings in control measures, provide data for monitoring, support claims/insurance, and demonstrate management commitment.

Distinguish between the 'immediate', 'underlying' and 'root' causes of an accident.

Immediate cause = the unsafe act or condition that directly led to the event; underlying (contributory) causes = factors behind it (e.g. lack of training, poor maintenance); root cause = the fundamental management/system failure that allowed those to exist.

List the typical four stages of the incident investigation process.

Step 1: Gather information. Step 2: Analyse the information. Step 3: Identify suitable risk control measures. Step 4: Plan the remedial actions (and implement/monitor them).

Why should an incident investigation be carried out as soon as possible after the event?

Because evidence can be lost or altered, the scene may be disturbed, witnesses' memories fade, and prompt action allows controls to be put in place quickly to prevent recurrence.

Who should be involved in investigating a serious workplace accident?

A team that may include the line manager/supervisor, a health and safety practitioner, employee/safety representatives, and senior management, with input from witnesses and relevant technical experts.

What is the purpose of taking witness statements during an investigation, and how should witnesses be interviewed?

To obtain factual accounts of events. Interview witnesses individually, as soon as possible, in a quiet non-threatening environment, using open questions, without apportioning blame, to gather accurate, unbiased information.

Under RIDDOR, name three categories of reportable events.

Specified (major) injuries, over-7-day incapacitation injuries, deaths, certain reportable occupational diseases, and dangerous occurrences (near misses).

Under RIDDOR, within what timescale must an 'over-7-day' injury be reported?

It must be reported within 15 days of the accident (the injury counts when a worker is incapacitated for more than 7 consecutive days, not counting the day of the accident).

What is the difference between an 'accident' and a 'near miss'?

An accident is an unplanned event that results in injury, ill health or damage; a near miss is an unplanned event that had the potential to cause harm but did not result in any injury or loss this time.

Why should organisations record and investigate near misses?

Near misses are warnings of underlying failings; investigating them allows hazards to be controlled before an actual injury or loss occurs, providing free lessons without the cost of harm.

Define 'active (proactive) monitoring' of health and safety performance.

Monitoring carried out before things go wrong, checking that standards and controls are working as intended (e.g. inspections, audits, sampling, surveys, checking training records).

Define 'reactive monitoring' of health and safety performance.

Monitoring carried out after things go wrong, measuring failures using data such as accident/incident rates, cases of ill health, near misses, dangerous occurrences, complaints and enforcement action.

Give two examples each of active and reactive monitoring measures.

Active: safety inspections, audits, health surveillance, checking maintenance records. Reactive: accident/injury statistics, sickness absence data, number of near misses, enforcement notices or civil claims.

State the formula for the Accident Incidence Rate.

$\text{Incidence Rate} = \dfrac{\text{Number of accidents}}{\text{Number of persons employed}} \times 1000$

State the formula for the Accident Frequency Rate (per hours worked).

$\text{Frequency Rate} = \dfrac{\text{Number of accidents}}{\text{Total hours worked}} \times 1{,}000{,}000$

Name the four main types of active monitoring inspection commonly used in workplaces.

Safety inspections, safety sampling, safety surveys, and safety tours.

What is the difference between a safety inspection and a safety audit?

An inspection is a straightforward physical check of the workplace/equipment against a standard at a point in time; an audit is a structured, systematic and critical examination of the whole safety management system (including documents and behaviour) to assess its effectiveness.

What factors should be considered when designing a safety inspection checklist?

The hazards/areas to be covered, relevant legal standards, who carries it out and their competence, frequency, how findings are recorded and ranked, and the system for following up and closing out actions.

Give two advantages and one limitation of using checklists for safety inspections.

Advantages: ensure consistency and that nothing important is overlooked, and provide a documented record. Limitation: they can become a tick-box exercise and may miss hazards not listed on the form.

What is the purpose of a health and safety audit?

To systematically and independently assess whether the safety management system is suitable, properly implemented and effective, to verify legal compliance, and to identify improvements.

What three types of evidence are typically gathered during a safety audit?

Documentation/records (e.g. policies, risk assessments, training records), interviews with people, and direct observation of conditions, activities and behaviour in the workplace.

Distinguish between an internal (first-party) audit and an external (third-party) audit.

An internal audit is carried out by the organisation's own staff (more familiar, cheaper, but may lack objectivity); an external audit is conducted by an independent outside body (more objective and credible, but costlier and less familiar with the site).

What is the purpose of management's periodic review of health and safety performance?

To examine whether objectives and standards are being met, to learn from performance data, ensure continual improvement, confirm the policy remains adequate, and drive corrective action—closing the management cycle.

In the HSG65 'Plan, Do, Check, Act' model, which stages do monitoring, auditing and reviewing performance fall under?

Monitoring and auditing fall under 'Check' (measuring performance); reviewing performance and acting on lessons learned falls under 'Act' (reviewing and improving).

What sources of information should feed into a review of health and safety performance?

Audit and inspection reports, accident/incident and near-miss data, ill-health and absence statistics, monitoring results, enforcement action, employee feedback, and progress against previous objectives.

Why might the actual level of risk be greater than a simple $\text{Likelihood} \times \text{Severity}$ score suggests?

Because the score can underestimate factors such as the number of people exposed, frequency and duration of exposure, reliability of controls, and worst-case outcomes; matrices are subjective and should be used as a guide, not an absolute.