UNIT 5

Risk
Assessment

Principles &
Practice
Risk Assessment Principles & Practice

Aims
Understand:

The process of risk assessment;

Risk assessment recording and reviewing procedures.

explain the aims and objectives of risk assessment;

distinguish between high frequency/low severity events and low
frequency/high severity events;
identify hazards by means of workplace inspections and analysis of
tasks;
use accident and near-miss data in risk assessments;
use a simple risk assessment technique to determine risk levels and to
assess the adequacy of controls.

Be able to:

Reference.
Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001).
Five Steps to Risk Assessment (INDG163), HSE Books.
Occupational Health and Safety Assessment Series (OHSAS 18000): Occupational Health
and Safety Management Systems (OHSAS 18001/18002), BSI.
Ttime: 7 hours.

Introduction
1.3 Accidents & Consequences
1.3.1 Types of Illness
1.3.2 Factors affecting health and safety at work
Question 1
Question 2
1.3.4 !
1.3.5 Annual statistics
1.4 Statistics Continued.
1.5 Costs
1.6 Accident Triangle
1.6.1 Main causes of injury
1.6.2 Injury and loss example
1.6.3 Types of loss
1.6.4 Accident Causation
1.7 Why do accidents happen?
Question 3
1.8 Hazard identification
1.8.1 Sources of Hazards
Question 4
1.8.2 Hazard identification should be carried out
1.8.3 Further sources of information when conducting
inspections may include:1.9 Hazard identification case study - the Chalk Works
1.9.1 Tasks and Hazards
1.9.2 Hazard Checklist
1.10 Why we undertake risk assessments
1.11 Some basic definitions
Question 5

1.12 Statutory Requirements

1.13 Principles of prevention to be applied
1.13.1 Principles of prevention to be applied continued.
1.14 Risk Assessment in Practice
1.15 Health Hazards & Risk Assessment
1.16 When should assessments be undertaken?

1.16.1 The importance of risk assessments

1.2

Risk Assessment Introduction

In this study section, you will learn about the types of
accidents in the work place and their potential consequences,
the losses that may occur, accident models and the steps and
process of risk assessment. You will note that we have
included Safe Systems of Work and Permits to Work (or Work
Permits) in this study unit.

Other sections of your study materials should be read in

conjunction with this section, for instance, Accident
Investigation and Accident Prevention. You also have some
essential reading, additional to these study units.

We have provided a number of real workplace examples

from the relatively low risk retail and service sector to the
complex high risk heavy industry of the quarry. You will of
course have examples of your own on which to draw; this will
be of great advantage to you as you work through the study
sections.

Most people would have come across the term Risk

Assessment or Assessment of Risk. It is used in all areas of
industry and commerce, in newspapers, television and even in
everyday life. Risk assessment is central to the study and
practice of occupational safety and health.

In life, we use risk assessment every day. We make

decisions about when it is safe to cross a road or overtake a
vehicle on a bend. However, we do not go through the formal
risk assessment process and write our findings down.
When crossing a busy road, we need to consider the
hazards and the risks of injury or type of injury we may suffer,
from a lorry, bus, car or motor bike.

We also need to consider the speed of traffic, the volume

of traffic, the gap in the traffic, the road conditions (wet or
icy), our own personal performance with regards to just how
quickly and safely we can cross and the possible
consequences of something going wrong.

We can and should use the correct and safe place to

cross, zebra or pelican crossing point, but we sometimes take
risks. Even if we get our part right, there is always the risk
that a driver will ignore or - through a lack of attention - not
see us stepping out into the road, whether we are at a safe
place to cross or not.

In the workplace, it is a statutory requirement that

employers undertake risk assessments for all their activities.
Those that employ five or more employees are required by law
to make a record of their findings and to make arrangements
to review the assessments and maintain the records. In the
lowest risk workplace environments, this is relativity simple to
achieve. In the most complex of high risk workplaces, off-

shore gas and oil field installations, risk assessment is highly

complex and often highly technical, requiring specialist
technicians, strict management procedures, comprehensive
safety systems and highly competent key personnel.

The following sections of your NEBOSH certificate course

will also cover Risk Assessment:

Occupational Health & Safety Law.

Noise at Work.
Fire Prevention & Assessment.
Chemical & Biological Hazards.
Accident Prevention.
Incident Investigation.
Workplace Inspections & Audits.

Enjoy this study unit; make sure that you understand the
subject. It is absolutely central to many of your other study
sections, as you will discover.

Just a final point; the environment under study is a workplace

and not a domestic dwelling.

1.3

Accidents & Consequences

You will need an understanding of accident causes and statistics. It is vital to
your success in the examination that you are able to recall types of accidents,
accident causes and accident causation models.

Definition of an Accident.
"

nplanned, uncontrolled event leading to actual or potential injury,

damage, harm or loss"

Accidents at work can and do happen, and they happen all too frequently. At
this point, you should start to make a list of work activities, working
environments and other factors that may contribute to accidents at work. We

will also discuss loss. This is because all accidents have a loss to some degree
or other.

The following will provide you with a start:

Factors affecting safety at work:

Handling, lifting and carrying.

Slips, trips and falls.
Moving vehicles, objects, machinery.
Harmful substances.
Electricity, animals, fire, explosion, drowning,
asphyxiation.

Can you think why each of the above would cause accidents and what types of
accidents they may cause?

1.3.1
Types of Illness

Vibration injuries.
Hearing damage.
Asthma.
Dermatitis.
Musculoskeletal disorders.
Stress, depression, anxiety.

What occupation do you think may potentially suffer from Vibration White Finger?

1.3.2

Factors affecting health and safety at work

Occupational factors.

Chemicals, equipment, working methods.

High noise levels.

Poor lighting.
Dusty atmospheres.
Hot or cold temperatures.

Environmental factors.

Human factors.

Behaviour of people affecting their

safety and that of fellow workers,
customers, visitors.
Carelessness.
Lack of attention.
Inexperience lack of training.

This is not an exhaustive list. You need to add to the list and
consider what type of accidents are the most common.

1.3.2

Factors affecting health &

safety at work
Occupational factors.

Chemicals, equipment, working methods

High noise levels.

Poor lighting.

Environmental factors.

Dusty atmospheres.
Hot or cold temperatures.

Behaviour of people affecting their safety and that

of fellow workers, customers, visitors.
Carelessness.
Lack of attention.
Inexperience lack of training.

Human factors.

This is not an exhaustive list. You need to add to the list and consider what type of
accidents are the most common.
A Definition of an Accident is a _____, uncontrolled event leading to actual or potential
injury, damage, harm or loss

Out of the Factors effecting health and safety at work, which one do you think is
responsible for the causing the most accidents

1.
2.

? Occupational
? Environmental

3.

? Human

1.3.4 !
Bearing this in mind, what other human factors are there that may affect health & safety at
work?

1.3.5

Annual
statistics
Annual statistics

Fatalities 180
Major injuries 28,692
Over 3 day injuries 105,222

The estimated annual cost to UK society through accidents and ill-health is 11-16 billion.

How do you think this arises? What are the costs? Make a list of where
you think the costs are, e.g. persons with disabilities may require structural
changes to their homes.

Accidents and consequences

major injuries, fatalities, damage or loss;

minor injuries, damage or loss;
near-misses (no injury, damage or loss).

Make a note of examples of each of the above before you continue.

Reported injuries and dangerous occurrences:

Injuries
Employees and self-employed

Fatal 180
Major 28,692
Over-3-day 105,222

How much under-reporting do you think occurs each year and why?

Members of the public

o
o

Fatal 414
Major 23,326
Reported dangerous
occurrences 10,002

How do you think members of the public were injured and in what types
of circumstances?

1.4

Statistics

Continued.

Prescribed industrial diseases

Lung diseases including:

pneumoconiosis, mesothelioma,
occupational asthma, cancer, bronchitis
3,437.
Vibration white finger 3,155.
Carpal tunnel syndrome 478.
Musculoskeletal disorders 465.
Occupational deafness 316.
Dermatitis 220.

Allergic rhinitis 135.

Work Related Injuries:

Musculoskeletal disorders 1.2 million.

Stress, depression or anxiety 79,000.
Other stress-prescribed disease
254,000.
Lower respiratory disease 202,000.
Deafness, tinnitus, ear conditions
170,000.
Skin disease 66,000.
Headache or eyestrain 50,000.
Trauma 34,000.
Vibration white finger 36,000.
Pneumoconiosis 19,000.

These figures come from a survey carried out by the HSE in 1995/96. An update
is long overdue, but these figures should give a relative breakdown of the extent of
workplace ill-health and disease.

1.5
Costs
Estimated annual costs of work-related injuries and ill-health to
individuals and their families 5.6 billion through:

Human suffering:

injury,
pain,
stress,

grief,
death.
Loss of income.
Unemployment.
Need for additional expenses.

Estimated annual costs of work-related injuries and ill-health to UK

employers 3.5 to 7.3 billion through:

Compensation claims and insurance.

Prosecution, fines, prohibition.
Legal fees.
Lowered staff morale/reduced productivity.
Absenteeism, sick pay, increased staff turnover
and replacement costs.
Repair costs to damaged buildings and
equipment.
Loss of reputation and customer confidence.
Increased cost of management and
administration.

Estimated total annual costs of work-related injuries and ill-health to

society 9.9 to 14.1 billion through:

Damage.
Lost industrial output.
Medical treatment.
Administration costs.
Investigation costs.
Victim and family costs.

1.6

Accident Triangle

Figure
There are so many minor accidents from which we can learn. It stands
to reason that if we are aware of all accident causes, we should at least be able
to control future loss events.

In Bird's Accident Triangle, you can see the ratio of non-injury

accidents in relation to major injuries sustained as a result of an accident.

Accident records are a useful method of estimating loss when

considering risk assessment. However, we are all aware that some underreporting may take place throughout a year and this may be need to be taken in
account.

1.6.1

Main causes of injury

Figure

Why do you think drowning is a less common cause of accidents and

injuries at work than violence or accidents from animals?

Part of the risk assessment process is the requirement to

consider the loss when the hazard has been identified and the
risk calculated. Loss can come in many forms. The most
obvious losses are those that cause injury, either temporary or
permanent, leading to disability or even death.

1.6.2

Injury and loss example

A small cut or graze to a finger may just require first aid
treatment. The loss in this case, relatively speaking is small.
However, a loss of time would occur.
Let's consider, for example that cut to the finger: Bob, a
machine operator in a large engineering shop, picks up a tool
used in cleaning and due to his inattention, cuts his finger on
the blade end of the tool. Other than a small shallow cut to his
index finger, he suffers no further harm.

The Losses

Bob has to stop his machine.

He has to find the first aider.
The first aider has to stop their work activities.
Both Bob and the first aider walk to the first aid
room.
The wound is cleaned.
The wound dressing is applied.
The accident book is completed.
At some point in the future, the entries in the
accident book, including Bob's entry, are
counted and a statistical end of year analysis is
made.
Both parties now return to work.
The production manager talks to Bob to
ascertain how he came to cut his finger.
The production Manager tells Bob to be more
careful in the future.

On the production line of a company that makes prepacked sandwiches, however, a cut finger is a real concern.
The line is stopped, 50 or more sandwiches prior to the
incident and 100 after the incident are thrown in the bin. Of
course the reason why such precautions are taken is
clear; the possible contamination of food with human blood is
not a desired occurence, given the chance of the blood
carrying infections or diseases.

The plant was mostly automated, except the cutting in

half of the sandwich that was done by hand using a large
knife. Each time the knife was used, it had to be wiped clean.
A cleaning cloth was used by the production staff who would
wipe the knife through the cloth to clean away any residue left
by the previous cutting of the sandwich. A safer method is
now used, but cuts can still occur.

A cut finger can lead to lost time and more but we shall
now consider types of incidents and the potential of loss.

1.6.3

Types of loss

Accidents, illness, stress.

Deaths.
Lost time.
Bad publicity.
Poor reputation.
Lowered performance of staff.
Increased sick leave & staff turnover.
Reduced company performance.
Prosecution, fines and imprisonment.
Prohibition and closure.

Compensation claims, insurance costs.

Legal costs.
Unemployment.
Material loss.

We all know of fires and other major incidents that

devastate the workplace. Some are so catastrophic that lives
are lost, environmental damage is caused and the company
suffers such losses that it goes out of business. This is, of
course, the worst case outcome.
You will note from the list above that we mention
prosecution, fines, imprisonment, prohibition and closure. You
can find the details of this aspect in Unit 1.

1.6.4

Domino Effect

Figure.

Accident
Causation

In practice, accidents happen for many reasons. It is rare

that an accident has a single cause. Accidents happen
because of a series of events. A number of things happen
simultaneously and it is the combination of these casual
events which results in the accident.
It follows that if we remove one of these casual
events, we should be able to prevent similar accidents from
occurring in the future. You may want to read the section
'Accident Investigation' at this point.
These casual events are referred to as immediate causes;
they are to do with what happened, the events leading up to
the accident.
Root causes differ from casual causes, in that root causes
are to do with the underlying factors, why casual events
happened. Root causes are more difficult to identify because
they deal with why the accident happened rather than how it
happened. As you will read in the Incident investigation
section, establishing the root cause is an essential part of
future accident prevention.
Let us now consider the Hale and Hale Domino theory,
see fig 6 above. In this model, Hale & Hale say that the cause
of an accident lies with the person, with the situation or more
likely with both.
In simple terms, the domino theory says that if one of the
events (one of the dominos to the left) falls, then it will knock
over the other dominoes to the right of it and a loss will occur.

The sequence of events will be as follows:

Example 1

1.

Lack of supervision and management control means that one or more

brackets essential to the support of a shelving unit will not be fixed in
place.

2.

An unsafe act occurs; the brackets are not put in place.

3.

An unsafe condition results, the brackets are not in place.

4.

A loss occurs; the shelving unit fails when items are placed on it and
someone is injured by the falling materials.

Example 2

1. Poor Management, poor written work procedure,poor system of work in place

and no management monitoring mean that brake fluid is not included in braking
system.
2. Unsafe act: brake fluid not put in place.
3. Unsafe Condition: brake fluid not in place as required.
4. Loss: damage to car and injury to driver.
It stands to reason that if any one of the events to the left of the loss is corrected,
then the loss will not occur. However, it is important to remember that it is rare that only
one domino (event) is involved in the loss. Another consideration is the types of loss that
may be involved in one accident.

You may want to consider the examples above and make a note of the losses.

1.7

Why do accidents happen?

There are many reasons why accidents happen. However, we can
categorise them in to human errors, system errors and hard errors.

Human Errors.

These include perception, physical and mental

capabilities of people and the interaction with their job and
working environment, the influence of work equipment and
systems design on human performance and organisational
characteristics which influence safety-related human
behaviour.

Lack of attention, inappropriate actions, wilfulness, poor

attitude, lack of motivation and wrong perception are all
examples of human errors that have the potential to cause
incidents and accidents.

System Errors.

System in terms of safety is the organisational

integration of personnel, articles and substances within a safe

environment to produce and maintain an acceptable level of

standards.

System failure can be contributed to by poor means of

communication, inappropriate management objectives
established to operate a system, inappropriate polices and
working procedures, poor design of safe methods of working
and - most importantly - organisational structure.

Many human errors contribute to poor systems. It is

somewhat difficult to distinguished between human and
system errors. However, if we consider that a system is
flawless and only fails because of human error, we are able to
establish a system error.

An example of this might be a system for inspecting

components which may be deficient in its design. A vital check
may not be included in the system to inspect.

For instance, while checking the braking system on a car,

the system in place may state that all components must be
inspected and the list components may be included to allow a
check list to be completed. If the level of brake fluid is missed
because it is not indicated on the form, this would be a system
error. If the brake fluid was on the form and requiring
inspection but was not inspected, this would be a human
error.

Hard Errors.

Hard errors are distinguished from human and system

errors as they are concerned with the hardware used in - or as
part of - undertaking a task. Failings of materials, equipment,
agents or substances are all examples of hard failings.

1.
2.

? Hard errors
? Human factors

3.

? System failure

1.8

Hazard identification

There are several methods of identifying workplace

hazards within any company.
These are undertaken with the aim of identifying hazards
and assessing their risk potential. They may be undertaken by
individuals, line managers, safety advisers, supervisors or
groups of people who may be members of the safety
committee.
Workplace inspections can take several forms. You may
have a pre-designed inspection checklist of areas of work,
work activities or machinery etc and the hazards that may be
present. Alternatively, you may take a blank sheet of paper
and clip board. Most hazard identification is undertaken in the
context of looking for things that are wrong.

The Hazard Spotting Approach.

Simple, yet effective, but this is a reactive approach. In

most cases, as you walk through the workplace, you will spot

hazards of all types. Make a note and consider the risks from
that hazard. Your practical exercise at your examination will
take the form of hazard spotting.
In the most basic terms, you are looking for anything with
the potential to cause harm/loss. This could be something
obvious i.e. an exposed electric cable or a trip hazard in a
walkway, through to the not so obvious like a hidden poor
design feature of a piece of work equipment or poor design of
management controls/systems.

Hazard identification provides information that can be

used to manage risks, which, if not controlled, can lead to
workplace accidents. It can also have other benefits, with
reduced workplace claims, insurance payments and lost time
incidents.

The process of hazard identification can also assist in:

revealing hazards which were overlooked in the original
design and installation of plant, equipment, operating
procedures and settingup of associated work systems;
detecting hazards which have developed after the plant,
equipment, other resources (chemicals etc) or work
system have been established;
highlighting any ergonomic problems associated with the
plant, equipment, operating procedures;
indicating any environmental factors e.g. poor lighting,
that may contribute to accidents;
determining methods for ongoing monitoring to achieve
optimum health and safety workplace standards;
highlighting any training requirements.

1.8.1

Sources of Hazards
Hazards may arise from:

The workplace environment e.g. insufficient lighting.

Equipment/Plant e.g. a noisy engine which has not been
insulated.
Substances e.g. explosive fumes building up in a storage
area.
Work systems e.g. storage of files at high level causing
retrieval hazards.

Forms of Hazards
Workplace hazards can be divided into a number of groups:

Physical hazards e.g. noise, electricity, heat and cold.

Chemical hazards e.g. toxic gases, noxious fumes and
corrosive liquids.
Ergonomic hazards e.g. height of workbench, design of a
chair, set-up of a workstation.
Radiation hazards e.g. from x-ray machine, infrared
beams or badly fitting microwave doors.
Psychological hazards e.g. stress from using equipment
without proper training or instruction, or being coerced
into using faulty equipment which carries a risk of injury.
Biological hazards e.g. syringes carrying potentially
infected blood, specimen containers carrying potentially
infected materials and viruses from air conditioning
systems.
Plant hazards i.e. any machinery, equipment, appliance,
implement or tool.

Items of "plant" may have associated physical, chemical,

ergonomic or radiation hazards and should be assessed
accordingly.
Badly fitting microwave doors is an example of a

1.8.2

1.
2.
3.

? Psychological hazard
? Biological hazard
? Radiation hazard

4.

? Plant hazards

Hazard identification should be

carried out
Hazard identification should be carried out:

before and during the introduction of new plant,

equipment, chemical or other item to the workplace;
where there is likely to be a risk to health or safety
involved, before and during any:

o
o
o
o

alteration to the plant, equipment, workplace;

change to the way the plant, equipment or an area
is used;
change to the work system; and,
change in location of the plant, equipment or
people.

If new or additional health or safety information

associated with the plant, equipment, chemical or other
item or its work system becomes available to the
employer.

Components of Hazard Identification.

The key elements in implementing the hazard

identification process for plant, equipment, chemical or other
item and associated work systems are listed below:

Develop a register for all hazardous items (e.g. plant,

electrical items, and chemicals) - it should list all items with
some details on the location and usage.
Analyse available information about the potential hazards
associated with each item and work system, for example:

Check accident/incident reports - or ask the

OH&S Unit for records.
Check breakdown/maintenance records.
Check recommended training information,
instruction booklets etc.
Check Codes of Practice and statutory
requirments.

Inspect the workplace to identify hazards. Analyse:

The environment.
The system of work.
The piece of plant, equipment,
chemical or other item itself. Talk to the
operators/users - they will be familiar
with the hazards.

Record the hazard identification on:

Hazard Identification Checklist, and/or

Hazard Identification Worksheet, and/or

Hazard Register.

1.8.3
Further sources of information when conducting
inspections may include:-

Previous workplace inspections.

Accident records.
Near miss data.
Safety Audits.
Statutory Inspections.
Safety Meetings.
Discussions with employees.
Work equipment manuals.
Job Descriptions.
Undertaken task analysis.

1.9
Hazard identification case study

- the

Chalk Works

This section considers a large milling operation - an

industrial mineral works with a chalk quarry. Chalk is dug from
the quarry, crushed through air swept mills and
refined through various air separators (cyclones) and
bagged up for sale. This is undertaken on a large scale,
approximately 50 tons or more every hour, seven days a
week, 8,400 tons a week. The end product with the
consistency of talcum powder is used in various grades in
many types of finished products; paints, drugs, carpets and
tyres to name just a few.
Consider what tasks are involved in such an operation.
We cannot list them all but consider the following:

The quarry.
The chalk face or cliff face requires reducing into smaller,
transportable boulders. Holes are drilled at strategic points
down into the chalk, about 10m away from the face.
Explosives are placed in the holes and detonated. The result is
that large material-moving plant can be used to load the
boulders into tipper trucks that can carry up to 35 tons at a
time. This is a large-scale operation.

The trucks then transport the material through the quarry

to the first crushing plant. The plant at this stage is huge.
Consider 35 tons of large boulders, some weighing up to 5
tons, being tipped into an open shoot and crushed through
enormous rollers, 2 metres in diameter. The rollers turn in
opposite directions to each other, crushing the material and
pulling it into the space between them. The material is
reduced to lumps about the size of an adult's hand and
weighing approximately 1 kg. It is now transported on a large
belt to a storage silo.

You should be thinking about the potential of harm and

the hazards of such an operation. Large vehicles turning,
reversing, explosives, digging operations, crushing equipment,
noise and dust etc.

Start making a list of the hazards that come to mind as you read through.

The silo holds about 12,000 tons of chalk and is an

inverted cone shape.

A plough situated at the bottom of the silo scoops the

chalk on to another belt where a worker stands and pick out
the flint from the moving belt. The chalk continues on the belt
where it is sent for further crushing to a size of about 800
grams or less, then yet again by belt to an air-swept mill
that dries and grinds the chalk to a powder, ready for particle
size separation by means of cyclones.

The fine chalk powder is now graded by sending it

through yet more cyclone machines and separated into
smaller holding hoppers, up to 5 tons, ready for pumping
across to the final 100 ton finished product silos. Bagging,
storage and loading the material ready for transport operation
is the final phase.

1.9.1

Tasks and Hazards

Let's have a look at the tasks and some of the hazards

1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.

Tasks

Types of Hazards

Drilling in quarry.

Machinery hazards.

Placing & use of explosives.

Explosives &manual handling.

Mechanical loading and transporting

materials.

Struck by moving vehicle.

Crushing materials.

Dust, noise, vibration.

Picking flint.

Repetitive strain injury/upper

limb disorder.

Moving materials by belt.

Nips, traps.

Drying materials.

Fire, heat escape of gas.

Moving materials by screw conveyer.

Nips, traps, crush noise.

Storage of fine powder.

Asphyxia, dust.

Bagging & handling material.

Nips, upper and lower limb

disorders.

Palletising & forklift trucks.

Struck by moving vehicles.

Storage & Warehousing.

Collapse of heavy loads.

Road transport.

Road accidents, upper limb

disorders.

We have not listed them all; you need to complete this task. Continue with the list as above
and study the section 'Classification of Hazards'. This will help you later in this section.

1.9.2 Hazard Checklist

This is an aide-memoire of hazards presented by work activities and equipment which
require risk assessment. This is an illustrative list and is not exhaustive.

MECHANICAL
Trapping
Crushing
Impact
Friction/Abrasion
Entanglement
Shearing
Puncture
Pinch or Nip Point
Stored Energy
Vibration

ELECTRICAL
Shock
Short Circuit
Sparking
Arcing
Fire
Explosion
Overheating
Portable Appliances

RADIATION
Alpha Beta Gamma
X-ray
Infra red
Ultra violet
Microwave
Radio

FLAMMABLE
Solids
Liquids
Gases
Sources of Ignition
Emergencies

PLACE OF WORK
Access
Housekeeping
Slip, Trip, Fall
Confined Spaces
Work at Heights
Excavation
Demolition
Work Near or Over Water
Stacking
Storing
Obstruction
Ergonomics
Transport

HEALTH
Dust
Vapours
Gases
Fumes
Asphyxiants
Corrosives
Heavy Metals
Pesticides
Herbicides
Insecticides
Carcinogens
Sensitisers

ENVIRONMENTAL
Weather
Noise
Temperature
Lighting
Ventilation
Pressure

ORGANISATION
Safe System of Work
Provision of Equipment
Provision of Information
Supervision
Training
Fieldwork

Vacuum
Humidity

Lone Working
Contact with Public
Violence

The noise and vibration at the plant is a significant

hazard. Measurements indicate that noise levels at best are
110 dB and at worst 180 dB. This is dealt with in the Noise
section of your study materials.

You need to imagine a shed of concrete walls, floors and

metal roof of about 100 m x 100 m. Four large air swept mills
run 24 hours a day, 150 screw feeders move the powdered
chalk from mills to cyclone separators and compressors send
the material to silos. The environment is not well lit, it is
dusty, hot and noisy.

The plant has grown from a manual operation to a less

than state-of-the-art processing plant. The walk ways are
crossed with screw conveyers that have to be stepped over or
ducked under. Hard hats are a real necessity and ear
defenders are worn without the need for management to
ensure they are worn. To give you some idea, you could stand
within a half a meter of a colleague and scream; they would
not hear you.

One other point for you to consider is that most of the

working shift, 12 hour days and nights are spent in the
instrument room, sitting watching dials and light indicators.
However, when things go wrong, say a screw conveyer stops
because a belt snaps or jams because of lack of maintenance,
then 50 tons of chalk in the consistency of talcum powder
would end up on the floor. The only way to clean it up is with
shovels and a wheel barrow. (Manual Handling assessment)

We have set the scene for you. Your list of hazards should
be growing and include all those above and many others
- stress, ergonomic etc.

1.10

Why we undertake risk assessments

Firstly, there is the statutory requirement placed on all
employers under the Management of Health and Safety at
Work Regulations 1999 (MHSAW) and within the Health and
Safety at Work etc Act 1974 (HASWA74). You will learn more
within the law section of your studies with regards to the
statutory requirements. However, below we have included the
MHSAW requirements.

Risk assessments, as you will read, are a safety

management technique that - if undertaken correctly using a
systematic approach - are designed to reduce and
control losses in terms of human, system, material and
financial losses.

Think of the phrase "What if?" To put this into context,

you need to imagine that you are walking through your place
of work and looking for hazards, at the same time asking
yourself 'what if this or that happened, to whom would it
present a risk, how many, to what degree and how often'.

Consider the example of a Safety Manager at a large

training centre. He is responsible for undertaking risk
assessments. Firstly, his company shares the building with 20
other small companies; the rooms were leased and the
landlord was in control of the premises.

The waste bin area is a common area; the landlord is

responsible for its control and the safety management.

If a fire started in the large bins, it would quickly spread

up the side of the building. A significant risk is
therefore present and controls need to be considered. The
Safety Manager discusses the matter with the landlord, who
assurese him that risk assessments have been undertaken
and that the controls put in place are suitable and sufficient.

Some months later, two youths set fire to the bins. They
are caught on CCTV. The fire is quickly brought under control
and the only damage is to the bins and the building wall. The
cost in terms of replacing the bins and remedial work to the
wall is approximately 3,500.

Further controls are put in place; the bins are locked in a

compound away from the building. This is reactive, but the
landlord did react to this risk and did something.

Another incident with the bins was a good deal more

serious and could have led to a death. Two youths had decided
that the bins were a good place to sleep after a night on the
town. The bins had lids, so were dry, had lots of paper waste,
relatively warm and were in a safe area, away from any
passing traffic. Early the next morning, the refuse truck
arrived. As the bin men wheeled the bins to the truck, one

youth leapt out and as he ran away shouted, "my mate's in

that other bin." This was true; the other youth was fast asleep
and only seconds away from the hydraulic lift that would have
tipped the contents of the bin and him into the waiting
crushing and compacting area at the back of the truck.

So why do we undertake risk assessments? Well, they are

a method of identifying hazards and calculating the risks of
workplace activities. They are part of accident prevention at
work and are required by law.

1.11

Some basic definitions

We will start with some basic definitions. This is important for you to remember
and you must include these in your NEBOSH examination.
Hazard

anything with the potential to cause harm.

Risk

the likelihood of harm been realised/happening.

Control Measure

anything (action or measure) put in place either to

eliminate the hazard or reduce the risk.

We make no apology for repeating the definitions throughout

your studies. Learn them, as you have the definition of an
accident, safe method of working etc.

A _____ is anything (action or measure) put in place either to eliminate the hazard or
reduce the risk.

1.
2.

? Control Measure
? Risk

3.

? Hazard

1.12

Statutory Requirements
Below, we have included the most relevant regulations
from the Management of Health & Safety at Work Regulations
1999 (MHSAW).
You will also note that we have included a very basic
account of each regulation as a Student Note. You will be
required to recall the most pertinent regulations for your
examination. However, you will not be expected to recall
it word for word.

The Management of Health and Safety at Work

Regulations 1999.

Risk assessment.
Regulation 3. - (1) Every employer shall make a suitable and
sufficient assessment of
(a) the risks to the health and safety of his
employees to
which they are exposed whilst they are at
work; and
(b) the risks to the health and safety of persons
not in his
employment arising out of or in connection
with the conduct by him of his undertaking,

(See 'Fire Section' of your studies)

Student Note:
Regulation 3 clearly states that all employers must
undertake Risk Assessments and that they must be
suitable and sufficient.

(2) Every self-employed person shall make a suitable and sufficient

assessment of:(a) the risks to his own health and safety to which he is
exposed whilst he is at work; and

(b)

the risks to the health and safety of persons not in

his employment arising out of or in connection with
the conduct by him of his undertaking, for the
purpose of identifying the measures he needs to take
to comply with the requirements and prohibitions
imposed upon him by or under the relevant statutory
provisions.

Student Note:
Regulation 3 clearly states that the self-employed
must undertake Risk Assessments and that they must
be suitable and sufficient, however they employ
themselves; if fewer than five people are employed,
they are not required to keep records.

(3) Any assessment such as is referred to in paragraph (1) or (2) shall

be reviewed by the employer or self-employed person who made it if
(a)

there is reason to suspect that it is no longer valid;

or
(b)

there has been a significant change in the matters to

which it relates; and where - as a result of any such
review - changes to an assessment are required, the
employer or self-employed person concerned shall
make them.

(4)

An employer shall not employ a young person unless he has, in

relation to risks to the health and safety of young persons, made
or reviewed an assessment in accordance with paragraphs (1)
and (5).

Student Note:
Special arrangements are required for young persons at work.
Risk assessments are required to be reviewed.

(5) In making or reviewing the assessment, an employer who

employs or is to employ a young person shall take particular account of

(a)
the inexperience, lack of awareness of risks
and immaturity of young persons;
(b) the fitting-out and layout of the workplace and
the workstation;
(c) the nature, degree and duration of exposure to
physical, biological and chemical agents;
(d) the form, range, and use of work equipment and
the way in which it is handled;
(e) the organisation of processes and activities;
(f) the extent of the health and safety training
provided or to be provided to young persons; and
(g) risks from agents, processes and work listed in
the Annex to Council Directive 94/33/EC[

(6)

Where the employer employs five or more employees, he shall

record

(a)
and
(b)

the significant findings of the assessment;

any group of his employees identified by it as
being especially at risk.

Student Note:
The employer who employs five or more persons has to make a
record of his assessments.

8]

on the protection of young people at work. for the purpose of

identifying the measures he needs to take to comply with the
requirements and prohibitions imposed upon him by or under the
relevant statutory provisions and by the Regulatory Reform (Fire
Safety) Order 2005.

1.13

Principles of prevention to be
applied
Principles of prevention to be applied.

Regulation 4.
Where an employer implements any preventive and
protective measures, he shall do so on the basis of
the principles specified in Schedule 1 to these
Regulations.

Health and safety arrangements

Regulation 5.
(1) Every employer shall make and give effect
to such arrangements as are appropriate,
having regard to the nature of his activities
and the size of his undertaking, for the
effective planning, organisation, control,
monitoring and review of the preventive
and protective measures.

(2)
(2) Where the employer employs five or
more employees, he shall record the
arrangements referred to in paragraph (1).

Student Note:
The employer is required to ensure that suitable safety management
arrangements are in place.

Health surveillance
Regulation 6.
Every employer shall ensure that his employees are provided
with such health surveillance as is appropriate, having regard to
the risks to their health and safety which are identified by the
assessment.

Student Note:
Health surveillance may be required in some circumstances and
for particular working environments, or where the employee is
exposed (or may be exposed) to a harmful substance/agent(s),
such as asbestos, lead or ionising radiation.

Health and safety assistance

Regulation 7.
(1)

Every employer shall, subject to paragraphs (6) and (7),

appoint one or more competent persons to assist him in
undertaking the measures he needs to take to comply with
the requirements and prohibitions imposed upon him by or
under the relevant statutory provisions and by Part II of
the Fire Precautions (Workplace) Regulations 1997.

(2)
Where an employer appoints persons in accordance with
paragraph (1), he shall make arrangements for ensuring
adequate co-operation between them.
(3)
The employer shall ensure that the number of persons
appointed under paragraph (1), the time available for them to
fulfil their functions and the means at their disposal are adequate
having regard to the size of his undertaking, the risks to which his
employees are exposed and the distribution of those risks
throughout the undertaking.

Student Note:
Competency in terms of risk assessment and safety management.
In order to undertake risk assessments, the employer must be - or
employ - a competent person, who has the relevant knowledge,

experience, qualification etc in respect of the work activities. The

employer also has to ensure that sufficient time and resources are
available to undertake these duties.

1.13.1

Principles of prevention to be
applied continued.
Risk assessment in respect of new or expectant mothers.
Regulation 16.
(1) Where (a)

the persons working in an undertaking include

women of child-bearing age; and

(b)

the work is of a kind which could involve risk,

by reason of her condition, to the health and safety
of a new or expectant mother, or to that of her baby,
from any processes or working conditions, or
physical, biological or chemical agents, including
those specified in Annexes I and II of Council
Directive 92/85/EEC[ 11] on the introduction of
measures to encourage improvements in the safety
and health at work of pregnant workers and workers
who have recently given birth or are breastfeeding,
the assessment required by regulation

3(1) shall also include an assessment of such risk.

(2)

Where, in the case of an individual employee, the taking of any

other action the employer is required to take under the relevant
statutory provisions would not avoid the risk referred to in
paragraph (1) the employer shall, if it is reasonable to do so, and
would avoid such risks, alter her working conditions or hours of
work.

(3)

If it is not reasonable to alter the working conditions or hours of

work, or if it would not avoid such risk, the employer shall,
subject to section 67 of the 1996 Act suspend the employee from
work for so long as is necessary to avoid such risk.

(4)

In paragraphs (1) to (3) references to risk, in relation to risk from

any infectious or contagious disease, are references to a level of
risk at work which is in addition to the level to which a new or

expectant mother may be expected to be exposed to outside the

workplace.

Certificate from registered medical practitioner

in respect of new or expectant mothers
Regulation 17.
Where
(a)

a new or expectant mother works at night; and

(b)
a certificate from a registered medical practitioner
or a registered midwife shows that it is necessary for her
health or safety that she should not be at work for any
period of such work identified in the certificate, the
employer shall, subject to section 67 of the 1996 Act,
suspend her from work for so long as is necessary for her
health or safety.

Notification by new or expectant mothers

Regulation 18.
(1)

Nothing in paragraph (2) or (3) of regulation 16 shall

require the employer to take any action in relation to an
employee until she has notified the employer in writing that
she is pregnant, has given birth within the previous six
months, or is breastfeeding.

(2)

Nothing in paragraph (2) or (3) of regulation 16 or in

regulation 17 shall require the employer to maintain action
taken in relation to an employee

(a) in a case
(i) to which regulation 16(2) or (3) relates; and
(ii) where the employee has notified her
employer that she is pregnant, where she has failed, within
a reasonable time of being requested to do so in writing by
her employer, to produce for the employer's inspection a
certificate from a registered medical practitioner or a
registered midwife showing that she is pregnant;
(b)

(c)

once the employer knows that she is no longer a new

or expectant mother; or
if the employer cannot establish whether she
remains a new or expectant mother.

Student Note:
Special arrangements are required for new and or expectant
mothers.

Protection of young persons.

Regulation 19.
(1)

Every employer shall ensure that young persons employed

by him are protected at work from any risks to their health

or safety which are a consequence of their lack of

experience, or absence of awareness of existing or
potential risks or the fact that young persons have not yet
fully matured.
(2)

Subject to paragraph (3), no employer shall employ

a young person for work (a)

which is beyond his physical or psychological

capacity;

(b)

involving harmful exposure to agents which

are toxic or carcinogenic, cause heritable
genetic damage or harm to the unborn child
or which in any other way chronically affect
human health;

(c)

involving harmful exposure to radiation;

(d)

involving the risk of accidents which it may

reasonably be assumed cannot be recognised
or avoided by young persons owing to their
insufficient attention to safety or lack of
experience or training; or

(e)

in which there is a risk to health from

(i) extreme cold or heat;
(ii) noise; or
(iii) vibration,
and in determining whether work will involve
harm or risks for the purposes of this
paragraph, regard shall be had to the results
of the assessment.

(3)

Nothing in paragraph (2) shall prevent the employment of

a young person who is no longer a child for work
(a)

where it is necessary for his training;

(b)

where the young person will be supervised by

a competent person; &

(c)

where any risk will be reduced to the lowest

level that is reasonably practicable.

(4)

The provisions contained in this regulation are without

prejudice to (a) the provisions contained elsewhere in these
Regulations; and
(b)

any prohibition or restriction, arising otherwise

than by this regulation, on the employment of any
person.

Student Note:
Special arrangements have to be in place for young
persons and there are some restrictions that have to be
adhered to.

Having read through the regulations with

the MHSW, we will now provide some
interpretation of them, using examples where
pertinent.

Can you recall from memory the basics of:

Regulations 3, 4, 6, 7 16 and 17.

In terms of Occupational Health & Safety, can you provide a suitable
interpretation of `Competent Person` ?

1.14
Risk Assessment in Practice
Regulation 3, MHSWR 1999.

Whatever the work environment, the risk assessment must

be suitable and sufficient - this means that in a complex
environment such as a chemical plant, a full safety audit might
be required; in a paint spray shop, the legal risk assessment
requirements would be met by a series of inspections of
equipment, checks on fire precautions, a COSHH assessment of
the solvents and other chemicals, and so on.
It is important that the results of the risk assessment are
prioritised:

High priority - immediate action

required
Medium priority - action required within
say weeks
Low priority - action required within say
months

The importance of recording the results of any monitoring

activity and indeed, except for the smallest companies (those
with fewer than five employees), recording the results of a risk
assessment is a legal requirement of the MHSWR.

Objectives of risk assessment:

Avoiding negative outcomes of incidents in terms of human
harm, legal and economic effects on the organisation.

1.15

Health Hazards & Risk Assessment

In order to control occupational health risks, we have to
understand the factors which determine the risks to health
from hazardous substances and agents in the workplace. At
this point, you may need to visit the section on Chemical &
Biological Health Hazards; however, we have included this
section, Health Hazards, to support your learning of Risk
Assessments.

Again, we have provided you with definitions. It is important

that you can recall these definitions for examination purposes.

A health hazard is something with the potential to

cause occupational ill-health or disease;
Risk is a measure of the likelihood that the harm from a
hazardous substance or agent will occur.

As you will read later, the risk assessment process begins

with the identification of hazards. We will now describe this
process of risk assessment for health hazards and their illhealth effects. We will be considering the range of chemical,
physical, biological and ergonomic agents already referred to
in more detail in other study units. However, since risk is a
measure of the likelihood of harm, in the case of health risks
the outcome will depend a great deal on the actual
characteristics of the persons exposed.

Consider human factors such as strength, general health

and susceptibility. These vary from one person to another and
these - sometimes wide - variations affect the likelihood (risk)
and severity of harm which can arise from a health hazard.

Personal Factors

There are a number of individual characteristics which can

influence the risk assessment. They include:

Pre-existing health conditions, where people

susceptible to allergic reactions or who suffer
from respiratory diseases may be more

susceptible to the effects of certain agents,

such as sensitisers or dust exposure.
Pregnancy, (expectant mothers) which causes
changes to the body which can increase the
risk of ill-health to both the foetus and the
mother if exposed to certain hazards, e.g. lead,
ionising radiation.
Age, where illness arising from an occupational
health risk may have a greater effect on young
workers, who may suffer a proportionately
greater loss of quality of life for a longer
period.

Severity of Harm
This is a function of the level or concentration of the
agent to which the person is exposed, and the duration of
exposure. For each hazardous substance or agent, there will
be an occupational exposure standard set at a value
designed to minimise the probability of harm. The pattern and
total time of exposure has to be determined by considering
routine or frequent exposures and also non-routine exposures
arising from maintenance or spillage operations.
The significance of the level and duration of exposure will
depend on the actual hazard. For example, exposure
standards for airborne chemical contaminants are based on
average airborne concentrations over 15 minutes or 8 hours.
Radiation dose limits are based on levels and durations which
depend both on the part of the body exposed (i.e. skin, eye,
etc.) and the individual (young person or pregnant worker).
See also Chemical & Biological.

Health Hazards.
Occupational Health Risks.

The overall occupational health risk depends on the

factors outlined above as well as the properties of the agent.
By considering the identified health hazard, possible ill-health
effects, susceptibility of the individual(s) exposed level,
duration of possible exposure and the probability of exposure,
an assessment of the likelihood of resulting harm can be
estimated.

This of course follows the steps of risk assessment as

described later. However, occupational health risk
assessments may be more compound as the task is made
more difficult because of the complexities of hazards and the
differing ways that individuals react to different exposures.

1.16

When should assessments be

undertaken?
Risk assessments should be undertaken in any of the following
circumstances:

They have not taken place before.

There are changes to the workplace, such as new
equipment is about to be introduced or significant
structural alterations have been made.
There are significant personnel/staff changes.
Changes have been made to Regulations or codes
of practice.
External changes have occurred that might affect
the site, for example: access to the premises.
On a regular basis to review the efficiency of
present systems.

1.16.1

The importance of risk assessments

We pause at this stage to remind you of what we said earlier, namely
that you have now reached the heart of your Certificate studies. Nothing is
more important than conducting a satisfactory risk assessment in your place of
work.
Consider what you have learned so far and how you have reached this stage of
your studies.

Risk Assessment Principles & Practice

Congratulations - end of lesson reached