NEBOSH International General Certificate in Occupational Safety and Health

Please be advised that the course material is regularly reviewed and updated on
the eLearning platform. SHEilds would like to inform students downloading these
printable notes and using these from which to study that we cannot ensure the
accuracy subsequent to the date of printing. It is therefore important to access
the eLearning environment regularly to ensure we can track your progress and to
ensure you have the most up to date materials.
Version 1.2c (08/02/2013)
Element 4: Health & Safety Management Systems 3 - Planning.

Element 4: Health & Safety Management Systems 3 - Planning.

Specific intended learning outcomes:
The intended learning outcomes of this element are that candidates will be able to:
4.1 - Explain the importance of planning in the context of health and safety management sys-
tems.
4.2 - Explain the principles and practice of risk assessment.
4.3 - Explain the general principles of control and a basic hierarchy of risk reduction measures.
4.4 - Identify the key sources of health and safety information.
4.5 - Explain what factors should be considered when developing and implementing a safe sys-
tem of work for general activities.
4.6 - Explain the role and function of a permit-to-work system.
Sources of reference:

 Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001)

ISBN-0-580-37805-5.
 Occupational Health and Safety Assessment Series (OHSAS 18000): Occupational
Health and Safety Management Systems OHSAS 18001:2007 (ISBN-0-580-50802-8),
OHSAS 18002:2008 (ISBN 9780-580-61674-7).
 Five Steps to Risk Assessment (INDG163), HSE Books ISBN 978 0 7176 6189 3.
 ISO 7010:2003, Graphical Symbols - Safety colours and safety signs used in workplaces
and public areas.
 Safe Work in Confined Spaces (ACOP) (L101), HSE Books ISBN 978 0 7176 1405 9.
 Permit-to-Work Systems (INDG98), HSE Books ISBN 0-7176-1331-3.
 Safety in the Global Village, IOSH Information Sheet, 1999;
http://www.iosh.co.uk/index.cfm?go=technical.guidance.

Recommended tuition time:

Recommended tuition time for this unit is not less than 11 hours.

4.0 Introduction

The Health and Safety Management System should contain the main elements of policy, orga-
nizing, planning and implementation, evaluation and action for Improvement.
In Element 2 we looked at setting the policy, in Element 3 we looked at organising the health and
safety management system. In this Element, we shall be examining the planning element of the
Health and Safety Management System.

4.1 Importance of Planning.

As we have seen from Element 2, Policy and the HSG65 model, planning is an important aspect
of any system.
The planning aspects of health and safety would include identifying the requirements the com-
pany must meet such as those imposed by law.
By planning the company aims to reduce the risks associated with their activities.
Companies should adopt a planned approach to policy implementation and this, when used in
conjunction with risk assessments will allow priorities to be set and objectives to be established
for the company to work towards.
Figure 1. below shows the main elements of the health and safety management system. Source:
Guidelines on Occupational Safety and Health Management Systems ILO-OSH 2001.

Figure 1.
Planning.
Section 3.7 Initial Review.
The organization's existing OSH management system and relevant arrangements should be
evaluated by an initial review, as appropriate and this should be carried out by competent per-
sons, in consultation with workers and/or their representatives, as appropriate.
In the initial review the organisation should:

 Identify current applicable national laws and regulations, national guidelines,tailored

guidelines, and voluntary programmes
 Adopt a systematic approach to hazard identification and elimination and determine
whether planned or existing controls are adequate to eliminate hazards
 or control risk.

Also, the initial review should be documented, and become a firm basis for decision making on
the implementation on the Occupational Safety and Health Management System and form a
baseline from which continual improvement can be measured.

4.1.1 Setting Health & Safety Objectives.

Section 3.9 of 'Guidelines on Occupational Safety and Health Management Systems' deals with
establishing Occupational safety and health objectives. The organization shall develop and
document OSH objectives, in consistent with the OSH policy.
When setting OSH objectives the organization needs to take into account:

 Legal and other requirements.

 Technological options, financial, operational and business requirements.
 Policy and objectives relevant to the organization's business as a whole.
 Results of hazard identification, risk assessment and existing controls.
 Evaluations of the effectiveness of the OSHMS (e.g. from internal audits).
 Views of workers (e.g. from employee perception or satisfaction surveys).
 Information from employee OSH consultations, reviews and improvement activities in the
workplace (these activities can be either reactive or proactive in nature).
 Analysis of performance against previously established OSH objectives.
 Past records of OSH nonconformities and incidents.
 The results of the management review.
 The need for and availability of resources.

The objectives shall be periodically reviewed and communicated to workers and other stake-
holders.
Objectives state what the organization is trying to achieve. This kind of clarity is essential for
planning and accountability. Clear objectives assist the organization in determining what pro-
grams and services it needs to offer. OSH objectives should be specific to the organization and
appropriate to or according to its size and nature of activity.
Having objectives set out provides:

 A target for the company to aim for.

 The company and employees with direction on where they are going.
 Motivation, as the company achieves the objectives together.

The objectives are set based on the policy and what the company hopes to achieve and are re-
viewed once the specified period ha ended. Some that have not been achieved or they wish to
continue with are carried forward to the next term.
Objectives are set by the top management team who will look through the companies activities
and needs and after consultation with all relevant persons, will produce and publish the objectives
for every level and function of the organisation. All objectives must be documented so they are
seen as important.
With each function and level having individual objectives ensures that managers/people at all
levels take responsibility and ensure they are met.
When objectives are reviewed the state of the company should be taken into account to show
where they are now so any new objectives reflect this, as well as any changes in legislation or
technological advancements.
Objectives should be:
SMARTER.

 SPECIFIC - who will do what and when.

 MEASURABLE - the corrective actions must be measurable.
 ACCOUNTABLE - the persons responsible for implementing the corrective actions should
be clearly defined.
 REASONABLE - the corrective action should be practical, i.e. will it work, can it be im-
plemented.
 TIMELY - the due date of the corrective action(s) must be timely; there may be interim ac-
tions that can be implemented sooner if required.
 EFFECTIVE - the corrective actions must prevent or significantly reduce the risk of this
problem happening again.
 REVIEWABLE - will this corrective action cause any problems? What might be the nega-
tive impact if any?

Planning objectives:

 Identify What activities will be undertaken;

 Identify Who has responsibility; name
 Identify When the action realistically should be accomplished; completion date, review
date
 Identify What resources are needed, for example, people, time, cost (GBP £,dollars $)
equipment;
 Identify How the action will be tracked and evaluated.

Example Objectives :

 Reduce recordable injuries by 5 percent in the next year

 Determine the cause(s) of any accident within 24 hours.
 Eliminate any hazard(s) identified during accident investigations and weekly planned in-
spections within 24 hours whenever possible.
 Complete one job safety analysis each month in each department, with follow-up revision
of safe work procedures and employee training by the following month.
 Hold and evaluate emergency drills for tornadoes (where appropriate) every 6 months and
a joint fire drill/evacuation with local emergency organizations every year
 Conduct weekly inspections with emphasis on good housekeeping, proper use of protec-
tive equipment, condition of critical parts of equipment and preventive maintenance

4.1.2 Identifying & Keeping Up-to-date with Legal Requirements.

The implementation of an effective occupational safety and health management system is crucial
for an organization to achieve sound occupational safety and health performance and to comply
with legal requirements. It is important that organisations can identify current legal requirements
and also assess the effects of foreseeable changes to legislation within their organisation.
In the UK the HSE decided to implement changes that arise from within the UK on only two dates
each year. They have extended this to legislation arising from Europe, wherever it is in their con-
trol to do so. The two 'Common Commencement Dates' are the 6 April (the start of the tax year);
and the1 October. The aim it that by harmonising commencement dates they hope that those af-
fected (ie businesses, employee representatives and individuals) will be more aware of forthcom-
ing changes and better able to plan for and implement new measures effectively.
A legal register is a useful tool that organisations can adopt to list all current legal requirements
applicable to them.
The legal register can be presented in tabular format to include the following headings:

Section Part No. Section Abstracts Action Location Responsible Compliance

title No. Person Status

4.2 Principles & Practice of Risk Assessment.

The requirement to conduct risk assessments is included in many of the International Labour
Offfice (ILO) Conventions, Recommendations and guidance. Many countries have developed
their own legislative requirements relating to risk assessments. On 12 June 1989, the Framework
Directive 89/391/EEC was adopted. It was an important directive providing for minimum require-
ments concerning health and safety at work under Article 118a. Articles 6 and 9 of this Directive
place obligations on employers to assess risks within their organisation.
Article 6.
General obligations on employers:

 1. Within the context of his responsibilities, the employer shall take the measures neces-
sary for the safety and health protection of workers, including prevention of occupational
risks and provision of information and training, as well as provision of the necessary or-
ganization and means.
The employer shall be alert to the need to adjust these measures to take account of
changing circumstances and aim to improve existing situations.
 2. The employer shall implement the measures referred to in the first sub-paragraph
of paragraph 1 on the basis of the following general principles of prevention:
o (a) Avoiding risks;
o (b) Evaluating the risks which cannot be avoided:
o (c) Combating the risks at source;
o (d) Adapting the work to the individual, especially as regards the design of work
places, the choice of work equipment and the choice of working and production
methods, with a view, in particular, to alleviating monotonous work and work at a
predetermined work-rate and to reducing their effect on health.
o (e) Adapting to technical progress;
o (f) Replacing the dangerous by the non-dangerous or the less dangerous;
o (g) Developing a coherent overall prevention policy which covers technology, or-
ganization of work, working conditions, social relationships and the influence of
factors related to the working environment;
o (h) Giving collective protective measures priority over individual protective meas-
ures;
o (i) Giving appropriate instructions to the workers.

 3. Without prejudice to the other provisions of this Directive, the employer shall,
taking into account the nature of the activities of the enterprise and/or establish-
ment:
o (a) Evaluate the risks to the safety and health of workers, inter alia in the choice of
work equipment, the chemical substances or preparations used, and the fitting-out
of work places.
 Subsequent to this evaluation and as necessary, the preventive
measures and the working and production methods implemented by
 the employer must:
 Assure an improvement in the level of protection afforded to work-
ers with regard to safety and health,
 Be integrated into all the activities of the undertaking and/or estab-
lishment and at all hierarchical levels;
o (b) Where he entrusts tasks to a worker, take into consideration the worker's ca-
pabilities as regards health and safety;
o (c) Ensure that the planning and introduction of new technologies are the subject
of consultation with the workers and/or their representatives, as regards the con-
sequences of the choice of equipment, the working conditions and the working en-
vironment for the safety and health of workers;
o (d) Take appropriate steps to ensure that only workers who have received ade-
quate instructions may have access to areas where there is serious and specific
danger

Article 9.
Various obligations on employers.
1. The employer shall:

 (a) Be in possession of an assessment of the risks to safety and health at work, including
those facing groups of workers exposed to particular risks;
 (b) Decide on the protective measures to be taken and, if necessary, the protective
equipment to be used;

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, com-
prehensive safety systems and highly competent key personnel.
The following sections of your NEBOSH certificate course will also cover Risk Assess-
ment:

 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.

4.2.1 Meaning of Hazard, Risk, & Risk Assessment.

Meaning of Hazard, Risk, & Risk Assessment.
Hazard:
"Something with the potential to cause harm (this can include articles, substances, plant or ma-
chines, methods of work, the working environment and other aspects of work organisation)".
Risk:
"The likelihood of potential harm from that hazard being realised".
Risk Assessment:
"Identifying preventative and protective measures by evaluating the risk(s) arising from a haz-
ard(s), taking into account the adequacy of any existing controls, and deciding whether or not the
risk(s) is acceptable".

4.2.2 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 causa-
tion models.
Definition of an Accident.
"Unplanned, 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:

o Handling, lifting and carrying.
o Slips, trips and falls.
o Moving vehicles, objects, machinery.
o Harmful substances.
o 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?

4.2.3 Types of Illness.

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?

4.2.4 Factors affecting health and safety at work.

Factors affecting health and safety at work.
Occupational factors:

 Chemicals, equipment, working methods.

 Environmental factors.
 High noise levels.
 Poor lighting.
 Dusty atmospheres.
 Hot or cold temperatures.

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.

Question 1.

A Definition of an Accident is a _____, uncontrolled event leading to actual or potential injury,

damage, harm or loss
Short Answer (HP)
Answer 1: Unplanned
Response 1:
Jump 1: Next page
Answer 2: Planned
Response 2:
Jump 2: This page

Question 2.
Out of the Factors effecting health and safety at work, which one do you think is responsible for
the causing the most accidents ?
Multiple Choice (HP)
Answer 1: Human
Response 1:
Jump 1: Next page
Answer 2: Environmental
Response 2:
Jump 2: This page
Answer 3: Occupational
Response 3:
Jump 3: This page

4.2.5 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:

 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?
4.2.6 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 dis-
ease.

4.2.7 Costs.
Estimated annual costs of work-related injuries and ill-health to individuals and their fami-
lies £5.6 billion through:

 Human suffering:
o Injury.
o Pain.
o Stress.
o Grief.
o 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.

4.2.8 Bird's Accident Triangle.

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.

Figure 1. Bird's Accident Triangle.

In Bird's Accident Triangle, you can see the ratio of non-injury accidents in relation to major inju-
ries sustained as a result of an accident.
Accident records are a useful method of estimating loss when considering risk assessment. How-
ever, we are all aware that some under-reporting may take place throughout a year and this may
be need to be taken in account.

4.2.9 Main causes of injury.

Figure 1.
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.

4.2.10 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 pre-packed 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 occurrence, 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 cam lead to lost time and more but we shall now consider types of incidents and the
potential of loss.

4.2.11 Types of loss.

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 catas-
trophic 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.

4.2.12 Accident Causation.

Figure 1.
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 acci-
dents 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 investi-
gation 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 1 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 essen-
tial 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.
Poor Management, poor written work procedure,poor system of work in place and no manage-
ment monitoring mean that brake fluid is not included in braking system.

 Unsafe act: brake fluid not put in place.

 Unsafe Condition: brake fluid not in place as required.
 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 acci-
dent.
You may want to consider the examples above and make a note of the losses.

4.2.13 Why do accidents happen?

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 acci-
dents.
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 manage-
ment 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 be-
cause 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.

Question 3.

_____ can be contributed to by poor means of communication, inappropriate management objec-

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

Multiple Choice (HP)

Answer 1: System failure
Response 1:
Jump 1: Next page
Answer 2: Human factors
Response 2:
Jump 2: This page

4.2.14 Hazard identification.

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 peo-
ple who may be members of the safety committee.
Workplace inspections can take several forms. You may have a pre-designed inspection check-
list of areas of work, work activities or machinery etc and the hazards that may be present. Alter-
natively, you may take a blank sheet of paper and clip board. Most hazard identification is under-
taken 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 haz-
ard. 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 de-
sign of management controls/systems.
Hazard identification provides information that can be used to manage risks, which, if not con-
trolled, 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 setting-up 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 pro-
cedures;
 Indicating any environmental factors e.g. poor lighting, that may contribute to accidents;
 Determining methods for ongoing monitoring to achieve optimum health and safety work-
place standards;
 Highlighting any training requirements.

4.2.15 Sources of Hazards.

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 instruc-
tion, 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.

Question 4.

Badly fitting microwave doors is an example of a

Multiple Choice (HP)

Answer 1: Radiation hazard
Response 1:
Jump 1: Next page
Answer 2: Psychological hazard
Response 2:
Jump 2: This page
Answer 3: Biological hazard
Response 3:
Jump 3: This page
Answer 4: Plant hazards
Response 4:
Jump 4: This page

4.2.16 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:
 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:
o Hazard Identification Checklist, and/or;
o Hazard Identification Worksheet, and/or;
o Hazard Register.

4.2.17 Further sources of information when conducting inspections.

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.

4.2.18 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 op-
eration.
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 approxi-
mately 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, ex-
plosives, 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 cy-
clones.
The fine chalk powder is now graded by sending it through yet more cyclone machines and sepa-
rated into smaller holding hoppers, up to 5 tons, ready for pumping across to the final 100 ton fin-
ished product silos. Bagging, storage and loading the material ready for transport operation is the
final phase

4.2.19 Tasks and Hazards.

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

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 load.
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.

4.2.20 Hazard Checklist.

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.
The noise and vibration at the plant is a significant hazard. Measurements indicate that noise lev-
els 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 metre 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 mainte-
nance, 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 (Requires Manual Handling assess-
ment).
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.

MECHANICAL. ELECTRICAL.

 Trapping.  Shock.
 Crushing.  Short Circuit.
 Impact.  Sparking.
 Friction/Abrasion.  Arcing.
 Entanglement.  Fire.
 Shearing.  Explosion.
 Puncture.  Overheating.
 Pinch or Nip Point.  Portable Appliances.
 Stored Energy.
  Vibration.

RADIATION. FLAMMABLE.

 Alpha Beta Gamma.  Solids.

 X-ray.  Liquids.
 Infra red.  Gases.
 Ultra violet.  Sources of Ignition.
 Microwave.  Emergencies.
 Radio.

PLACE OF WORK. HEALTH.

 Access.  Dust.
 Housekeeping.  Vapours.
 Slip, Trip, Fall.  Gases.
 Confined Spaces.  Fumes.
 Work at Heights.  Asphyxiants.
 Excavation.  Corrosives.
 Demolition.  Heavy Metals.
 Work Near or Over Water.  Pesticides.
 Stacking.  Herbicides.
 Storing.  Insecticides.
 Obstruction.  Carcinogens.
 Ergonomics.  Sensitisers.
 Transport.

ENVIRONMENTAL. ORGANISATION.

 Weather.  Safe System of Work.

 Noise.  Provision of Equipment.
 Temperature.  Provision of Information.
 Lighting.  Supervision.
 Ventilation.  Training.
 Pressure.  Fieldwork.
 Vacuum.  Lone Working.
 Humidity.  Contact with Public.
 Violence.

4.2.21 Why we undertake risk assessments.

Why do 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 cor-
rectly using a systematic approach - are designed to reduce and control losses in terms of hu-
man, 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 under-
taking 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 assures 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.

4.2.22 Risk assessment requirements.

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 Assess-
ments 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 per-
sons; 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) the significant findings of the assessment; and

 (b) 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 as-
sessments.
(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.

4.2.23 Criteria for a suitable and sufficient risk assessment.

Suitable and sufficient.
The Management of Health and Safety at Work Regulations 1999.
Risk assessment.
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.

To be suitable and sufficient a risk assessment has to:

 Identify all the potential causes of harm in the workplace. It must cover not only the risk of
immediate injury but also the long-term risks to health.
 Be systematic, comprehensive and address what actually happens in the workplace, not
what the employer says should happen.
 Cover non-routine activities such as spillages and cleaning, what happens during break-
downs, loading and unloading and maintenance operations.
 Cover everyone in the workplace, including groups like maintenance staff, security staff,
cleaners, and visitors, and it should take account of preventative or precautionary meas-
ures that have already been introduced and check that these are effective in reducing risk.

4.2.24 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 as-
sessment is a legal requirement of the MHSWR.
Objectives of risk assessment:

 Avoiding negative outcomes of incidents in terms of human harm, legal and economic ef-
fects on the organisation.

4.2.25 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 effec-
tive planning, organisation, control, monitoring and review of the preventive and protective
measures.
 (2). Where the employer employs five or more employees, he shall record the arrange-
ments referred to in paragraph (1).
Student Note: The employer is required to ensure that suitable safety management ar-
rangements are in place.

Health surveillance.
Regulation 6.

 Every employer shall ensure that his employees are provided with such health surveil-
lance 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 sub-
stance/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 compe-
tent 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 ade-
quate 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 un-
dertake 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.

4.2.26 Principles of prevention to be applied continued.

Risk assessment in respect of new or expectant mothers.

Regulation 16.
  (1) Where:
o (a) The persons working in an undertaking include women of child-bearing age;
and
o (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, includ-
ing 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 breast-
feeding, the assessment required by regulation 3(1) shall also include an assess-
ment of such risk.

 (2) Where, in the case of an individual employee, the taking of any other action the em-
ployer 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 em-
ployee 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 con-
tagious 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 work-
place.

Certificate from registered medical practitioner in respect of new or expectant mothers.

Regulation 17.
(1) 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:
o (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 cer-
tificate from a registered medical practitioner or a registered midwife show-
ing that she is pregnant;
o (b) Once the employer knows that she is no longer a new or expectant mother; or
o (c) 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 ex-
perience, or absence of awareness of existing or potential risks or the fact that young per-
sons have not yet fully matured.

 (2) Subject to paragraph (3), no employer shall employ a young person for work:
o (a) Which is beyond his physical or psychological capacity;
o (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;
o (c) Involving harmful exposure to radiation;
o (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
o (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 as-
sessment.

 (3) Nothing in paragraph (2) shall prevent the employment of a young person who is
no longer a child for work:
o (a) Where it is necessary for his training;
o (b) Where the young person will be supervised by a competent person; and
o (c) Where any risk will be reduced to the lowest level that is reasonably practica-
ble.

 (4) The provisions contained in this regulation are without prejudice to:
o (a) the provisions contained elsewhere in these Regulations; and
o (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' ?

4.2.27 Health Hazards & Risk Assessment.

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 in-
cluded 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 dis-
ease;
 '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 ill-health 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 characteris-
tics 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 ex-
ample, 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 dura-
tions 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 proper-
ties of the agent. By considering the identified health hazard, possible ill-health effects, suscepti-
bility of the individual(s) exposed level, duration of possible exposure and the probability of expo-
sure, 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.

4.2.28 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.

4.2.29 The 5 steps to Risk Assessment.

Lets us now consider the HSE guidance leaflet, Five Steps to Risk Assessment (INDG163).
Later, you will note that we have expanded on this HSE document.
However, for the purposes of your NEBOSH examination, it is essential that you can recall
the following:
Five Steps to Risk Assessment.
STEP 1:

 Look for the hazards.

STEP 2:

 Decide who might be harmed.

STEP 3:

 Evaluate the risks and decide whether the existing precautions are adequate or whether
more should be done.

STEP 4:

 Record your findings and implement them.

STEP 5:

 Review your assessment and revise it if necessary.

We will now consider each of the five steps in turn and in some detail.

4.2.30 Step 1 - Identify the significant hazards.

Step 1 - Identify the significant hazards.
Think about the words IDENTIFY & SIGNIFICANT.
There are many ways to identify hazards. (see above for types of hazard identification) You can
undertake a safety inspection using a pre-designed list of activities or a layout of the premises,
you can undertake a safety sample considering a single aspect of activity or area of the work
place, you can undertake a safety tour and so on.
Talking to staff who undertake the work activities is essential. It is they who, for the most part,
have the best knowledge of the hazards and the potential of harm. However, fresh eyes may re-
veal hazards that have been missed for long periods of time, so you must ensure that you look for
hazards in all aspects of the activities undertaken. Remember, humans can easily become com-
placent when then are unaware of the hazards around them.
Examining job descriptions may be an aid, as will inspecting accident records, but actually being
at the site of the work activity and looking and listening is essential. You cannot undertake a suit-
able and sufficient risk assessment from your office chair.
We can use a simple analogy of 'Significant' in this case, the difference between trivial and non-
trivial, i.e. significant = important.
Most types of paper used in offices has the potential to cause cuts. However, if you concentrate
on paper cuts, you may miss the significant hazards of the office guillotine that has the potential
to slice off the end of a finger.
Can you recall the definition of Hazard? Your examination will require you to include this definition
when answering questions of hazards.

4.2.31 Step 2 - Consider, groups of people or individuals who may be harmed from the
hazard(s).
Step 2 - Consider, groups of people or individuals who may be harmed from the hazard(s).
We are all different; different in size, age, experience and attitude. Older people tend to move
slower, younger people may be less experienced workers who may lack an understanding of the
workplace hazards.
Persons with disabilities must have particular consideration. How will you warn a person with a
hearing defect of the fire alarm? What about the road worker who only has vision in one eye (see
the law section and table of cases).
Regulation 18 of the MHSAW Regulations deals with expectant and new mothers. Take a look at
this regulation and make a note of the requirements.

4.2.32 Step 3 - Consider the existing control measures.

Step 3 - Consider the existing control measures.
Before you start assessing how likely a hazard is to cause actual harm or loss, you must consider
what controls are in place to reduce the likelihood. In the example, you will note how this is
achieved.
Implementing control measures should be considered from a hierarchy:
Order of Control Measure Priority/Control Hierarchy.

 (1) Total elimination or avoidance of the hazard at source.

o This means don't do what you are intending to do. In reality, this is difficult to
 achieve in the workplace but it must be considered in certain circumstances.
 (2) Substitution of the hazard at source.
o This means to substitute for a less hazardous process or substance for instance.
 (3) Placing a guard of some kind.
o Moving parts of machinery, attack-proof glass in a bank etc.
 (4) Remove the employee from the hazard.
o In a noisy environment, the employee could be placed in a sound-proof work area.
 (5) Reduce the expose of the employee from the risk.
o In noisy environments, reduce the time that the employee is exposed to the high
noise levels.
 (6) Produce a safe method of working/safe system/safe procedure that is known to
the employee and followed.
o When erecting a tower system for instance or administering medication.
 (7) Ensure adequate and suitable levels of supervision.
o Close supervision is sometimes required for complex high risk activities or where
the employee is inexperienced, young, requires training etc.
 (8) Training.
o Employees require safety training commensurate with their work activities.
 (9) Make safety rules, or issue instructions.
o Ensure that employees are aware of these rules and follow them.
 (10) Issue Personal Protective Equipment (PPE).
o Hard and bump hats, boots, gloves, knee pads, safety goggles and ear defenders
etc. This really should be the last resort and where the risks cannot be adequately
controlled by other means
 (11) Tell the employee to be careful.
o This may help, but it should not be relied upon. HSE figures show that 90% of all
accidents are caused through human error.

You will note that some of the control measures will require additional measures, for instance,
training on the job may require close supervision, issuing PPE will require training in its use etc.
It is essential that you can recall this list in the correct order for your NEBOSH examination.

4.2.33 Step 3 (Continued.) - Assess the Risk (Probability).

Step 3 (Cont.) - Assess the Risk (Probability).
There are so many methods and models of assessing risk that we cannot list or detail them all
here; in any case, you may find that you develop your own. Nevertheless, we have provided one
method below for you to consider.
Many charities, as you will be aware, have retail outlets, shops. In most cases, the hazards are
easily identified and relatively simple to assess and control. In these cases, most managers of the
shops would use a risk rating of Low, Medium or High risk, which is to say that they would simply
say that one hazard is more dangerous than another. They did not see the need to complicate
the issue. In the case of medium risks, they would implement measures to attempt to reduce the
risk to low. High risks meant that the activity would not be undertaken or in the case that the activ-
ity was already in place, would be stopped.
Example of Risk evaluation tool.
Figure 1. Prioritising Risks Table.

4.2.34 Example Risk Assessment.

Item. Hazard. RA. Control. Action by. Date.

S68 Drill Entanglement. Med. Adjustable Area supervisor. By next

Press. Cutting. Med. clamp base staff
Abrasion. Low. plate fixing meeting-
 Investigate
Base plate High. Bolt/Wingnut. 8/7/10.
footswitch
moves. High. Wear eye 2/5/10.
 Standard Op-
Overseas Med. protection. Ongoing.
erating Pro-
machine Provide eye
cedure (SOP)
switches do protection in
produced in
not meet AS vicinity of
consultation
specification. machine,
with opera-
Ejection swarf. include
tives.
Electrocution. usage in
SOP and
inform staff Operator Ian Wood to
about its use. repair base clamp
SOP hair tied fixing - wing nuts.
back, not to Maintenance - elec-
wear trically test.
jewellery,
secure loose
clothing etc.
Produce
SOP for
plant.
Investigate
provision of
shielded
footswitch.
Electrically
test every 6
months.

Desktop Electrocution. Low. Test 5 yearly. Area electrical tester. Ongoing.

Computer. Back/Arm/Neck Med. Workstation Supervisor and staff
injury OOS Med. assessment. member carry out
(RSI). Regular assessment and
 Eyestrain. breaks/job organise work.
rotation.

Epsom Electrocution. Hig. Use trolley to Area supervisor to By

Printer. move paper, make sure trolley 7/2/10.
assess load available and to
before lifting speak with caretakers
- seek regarding smaller
assistance if packages.
necessary.
Look at
getting paper
delivered to
workstation
in smaller
packages.

Moving A4 Manual High. Use trolley to Area supervisor to By

paper handling injury move paper, make sure trolley 7/2/10.
boxes from - eg back, assess load available and to
store to shoulder or before lifting speak with caretakers
workstation neck. - seek regarding smaller
(admin assistance if packages.
assistant). necessary.
Look at
getting paper
delivered to
workstation
in smaller
packages.

4.2.35 Step 3 (Continued.) - Quantitative Risk Assessment.

Quantitative Risk Assessment.

Staying with the retail outlet, let's consider a theft from the point of sale using a simple
quantitative method:

 Thief attempts to take the day's takings from the point of sale machine while the staff
member is at the machine.

Now let's consider the likelihood, the RISK, the Probability of Exposure (PE) to the considered
hazard. We can use the aid below.
Fig 1 below and Fig 2 below are simply an aid to assist you in calculating the Risk Rating, i.e. the
final calculation that allows you to consider if the risk is acceptable, requires action within a time
scale or requires immediate action.
The calculation used is 'Probability of Exposure (PE)' plus the'Maximum Possible Loss (MPL)'
multiplied by the'Frequency of Exposure (FE)'.
(PE + MPL) X FE =
Fig 1 Risk Assessment matrix aid.
Probability/Risk Very Unlikely. Even Probable. Very likely. Certain.
Maximum Unlikely. chance.
Possible Loss.
1. 2. 3. 4. 5. 6.
First Aid 2. 4. 5. 6. 7. 8.
Required/short
rest/recovery.
Fracture of a 3. 5. 6. 7. 8. 9.
major bone or
mild temporary
illness.
Loss of limb, 4. 6. 7. 8. 9. 10.
eye or
permanent
illness.
Fatality. 5. 7. 8. 9. 10. 11.
Low = 1 - 4.
Medium = 5.
High = 6 - 11.
Fig 2 Frequency of Exposure (FE) calculation aid.
Infrequent. Annually. Monthly. Weekly. Daily. Constantly.
1. 2. 3. 4. 5. 6.
Based on past experience, it is unlikely that the theft/attack will take place because it has not
happened in the past in any other shop; however, this is a new shop and in an area of depriva-
tion, high crime and high unemployment.
We do know, however, that the frequency of such events is rare or infrequent.

4.2.36 Step 3 (Continued.) - Maximum probable loss.

Maximum probable loss.
A staff member is injured during the theft; either pushed away, falls and suffers an injury of three
days or more lost time. Many persons, but not all of course, who work in the charity shops are
older.
Why do you think it is important to consider the age of a person is this situation?
Risk Assessment calculation:

 Probability Exposure = 2 Unlikely.

 Maximum Probable Loss = 2 First Aid Required/short rest/recovery.
 Frequency of exposure = 1.
 PE = 2 + MPL = 4 X FE 1 = 4.
 The risk rating has a value of 4 (four).

Question. Calculate the hazard rating if the staff member attempts to fight off the attacker and is
severely injured, suffers long term disability or death.

 PE = ?
 MPL = ?
 FE = ?
  Risk Rating =

Your risk rating should be no higher than a value of 10 (ten). This is because the probability has
not changed, nor has the frequency of the event. The only factor that may change is that fighting
back may have more severe consequences for an older person and as such, the maximum pos-
sible loss could be death.
If making an assessment of a missing guard on a power press of 100 tons and we have an un-
trained, inexperienced operator who lacks attention, the risk rating could be:

 PE = 2 Certain.
 MPL = 5 Death.
 FE = 1 Constantly.
 Risk Rating = 7.

Now let's consider a table of actions required and what priority should be given to a par-
ticular hazard rating:
Fig 1.3 Table of time-scales.

Risk. Hazard Rating. Action time-scale.

Low. 1 - 21. Within a month.

Medium. 22 - 35. Within a week.

High. 35 - 77. Immediately.

This really is a guide. In many cases, the hazard will be dealt with immediately. It really may de-
pend upon resources and the number of hazards that are being dealt with. In many small busi-
nesses, the process of risk assessment can take as little as one day to complete; hazards are
then dealt with as they arise or in a more proactive management system are dealt with before
they arise.
Large businesses with complex risks will require strategies of risk management to ensure that
hazards are dealt with effectively and in a timely fashion. Prioritising hazards in this case is es-
sential.

4.2.37 Implementing Additional Controls.

Implement additional control measures where the risk is not acceptable:
Eliminate the hazard.
In this case, the charity shop would consider the controls listed and consider if the shop was re-
quired to be located in the area.
Entrance to the shop to be restricted.
Not practical in this case. However, some jewellery shops do restrict access for obvious reasons
and some newsagents have signs that restrict the number of children allowed in at any one time.
Install distance guards around point of sale area.
Not practical in this case. You will be aware that banks, post offices and other places of cash
handling adopt this type of protection.
Have a security guard in place in the shop and patrolling.
Not in this case. The cost for the organisation would be unreasonable. However, they are seen in
larger shops and shopping centres etc.
Train staff in dealing with violence and aggressive situations.
This will help, but not self-defence such as the police force has to adopt. The training will have to
be in 'how to defuse a potential violent situation' and also must ensure that the shop staff under-
stand and follow a safe method of dealing with such situations.
Instructions would include such actions as: Open the till and stand well out of the way, try not
to make direct eye contact and only when the attacker has left the premises, phone the police. It
is common sense really but things go wrong; staff might on an impulse decide to try and get in-
vovled. You also have to ensure that you employ the right sort of staff in the first place.
Ensure that the minimum of cash is kept in the till at any one time.
This will reduce the amount of cash lost in a single theft. The fact could also be advertised in a
notice in the window. Many places that handle cash put up a notice stating their cash machines
etc are emptied on a regular basis. It does deter the thief on some occasions.

Question 5.

What control measure is at the top of the hierarchy in regards priority?

Multiple Choice (HP)

Answer 1: Elimination at source
Response 1:
Jump 1: Next page
Answer 2: Place a guard
Response 2:
Jump 2: This page
Answer 3: Reduce exposure
Response 3:
Jump 3: This page

Question 6.

What control measure should be considered as a last resort?

Multiple Choice (HP)

Answer 1: Personal protective equipment
Response 1:
Jump 1: Next page
Answer 2: Substitution
Response 2:
Jump 2: This page
Answer 3: Training
Response 3:
Jump 3: This page

4.2.38 Step 4 - Record your Findings.

Step 4.
Make a written record of the Risk Assessment where five or more employees are employed at the
business.
Of all the steps, this is probably the easiest. This can be produced as a hard copy or computer-
based. Management of such documents may be required, particularly where many assessments
and supporting safe methods of working are undertaken but we will deal with that later in Manag-
ing Data etc.

4.2.39 Step 5 - Review.

Step 5.
Review the assessment as required.
It may be necessary to review the assessments at regular intervals. The example above may be
required to be reviewed if an incident takes place or where changes occur in the work place.
In the machine shop or when evaluating the risks of fire, things may change in the environment or
to the premises; this will mean that the assessment will require further consideration.
Some work activities, environments and operations require specific risk assessments and have
other sets of Regulations.
These include:

 The Control of Noise at Work Regulations 2005.

 The COSHH Regulations 2002.
 The Manual Handling Regulations 1992.
 The Display Screen Equipment Regulations 1992.
 The Regulatory Reform (Fire Safety) Order 2005 [Remember the link between RR(FS)O
and MHSWR.]
 The Personal Protective Equipment at Work Regulations 1992.

Question 7.

Please drag and drop the Five Steps to Risk Assessment - the first step into the correct order

Matching (HP)First answer should jump to the "Correct" Page

Correct response: Evaluate the risks
Wrong response: Look for the hazards
Answer 1: STEP 1:
Matches with
Identify the hazards
answer 1:
Correct answer
0
score:
Correct answer
Next page
jump:
Answer 2: STEP 2:
Matches with
Identify the persons at risk
answer 2:
Wrong answer
0
score:
Wrong answer
This page
jump:
Answer 3: STEP 3:
Matches with Evaluate the risks and decide whether the existing precautions are adequate
answer 3: or whether more should be done
Answer 4: STEP 4:
Matches with
Record your findings
answer 4:

Question 8.

When would a training risk assessment need to be reviewed?

Multiple Choice (HP)

Answer 1: All of the above
Response 1:
Jump 1: Next page
Answer 2: When new people are introduced
Response 2:
Jump 2: This page
Answer 3: When legislation changes
Response 3:
Jump 3: This page
Answer 4: When new equipment is introduced
Response 4:
Jump 4: This page

Question 9.

Your risk assessment needs to be recorded in a written format when how many employees are
employed?
Multiple Choice (HP)
Answer 1: 5
Response 1:
Jump 1: Next page
Answer 2: 3
Response 2:
Jump 2: This page
Answer 3: 10
Response 3:
Jump 3: This page
4.2.40 Summary

The benefits of conducting risk assessments will be reflected in the reduction of the chances of
an accident, and hence injuries, illness, lost production and legal consequences.

The more assessments you undertake, the better a risk assessor you will become. However you
must have logic in your chosen method, and you will rely mostly on your experience of the work-
place, of the people and your knowledge of risk assessment in practice.

We have included some risk assessment forms as example for you to consider.

Example Exam Questions.

In order to assist you with your exams and to get a better idea of what types of questions may
arise concerning this lesson, please see below some example past questions based around the
content.

 Give meaning of the term 'hazard' and give an example of a workplace hazard.
 Give meaning of the term 'risk' and give an example of a workplace risk.
 Outline the key stages of the risk assessment process, identifying the issues that would
need to be considered at each stage.
 Outline the criteria which must be met for the assessment to be 'suitable and sufficient'.
 Give 2 examples of safety hazards within a warehouse and the associated risk.
 Give 2 examples of health hazards within a warehouse and the associated risk.
 Identify sources of information that could identify hazards in the workplace.
 Identify 4 factors specific to migrant workers that may increase the risk of a workplace
accident.
 Outline 4 control measures that an employer might use to minimise the risk to migrant
workers.
 Outline factors to consider when assessing risks to a long distance transport vehicle
driver.
 Outline factors to consider when selecting individuals to assist in carrying out risk as-
sessments in the workplace.
 Outline the key stages of a general risk assessment.

(These questions are here just for reference so there are no answers provided).

4.3 Risk Control.

Because there are many different types of risk, there are many different types of control meas-
ures that require designing, implementing and of course maintaining.
We will consider the general principles associated with risk control and we will do this by
examining risk control measures from different points as follows:

 Effects on likelihood.
 Methods of risk reduction.
 Hierarchies of risk control measures.
 Risk rating and risk control measures.
 Hierarchy of controls.
  Permits to work.
 Safe Systems of Work.

You may want to refer back to the Risk Assessment section to remind yourself of some of the
terms used.
Risk - the definition:
Risk is the likelihood of a hazard being realised (the possible outcome) and to add to this the se-
verity of that outcome.

4.3.1 Likelihood x severity.

It follows therefore that from this definition, there are only three possible ways that a risk
control measure can reduce risk:

 Reduce the likelihood.

 Reduce the severity.
 Reduce both likelihood and severity.

It really is that simple, it really is that obvious and that's why it is often overlooked by even the
most experienced of safety practitioners.
Once the risk has been identified and calculated, it may be necessary to implement controls or
further controls. It is now a matter of identifying which risk control measure to implement.
We need to take into account a number of factors when making this decision. However, an impor-
tant question to ask is - to what extent will the control measure reduce the risk?
If we do not consider this, we cannot make an informed decision on which control measure to
choose.

4.3.2 General principles of prevention.

The Nine General Principles of Prevention.
Management Regulations Hierarchy.
The hierarchy given below is quoted from the UK's Management of Health and Safety at Work
Regulations 1999.
Where an employer implements any preventive and protective measures, he/she shall do
so on the basis of the principles set out in Schedule 1 of the Regulations which are as fol-
lows:

 1. avoiding risks;
 2. evaluating the risks which cannot be avoided;
 3. combating risks at source;
 4. adapting the work to the individual, especially as regards the design of workplaces, the
choice of work equipment and production methods, with a view, in particular, to alleviating
monotonous work and work at a predetermined work rate and to reducing their effect on
health;
 5. adapting to technical progress;
 6. replacing the dangerous by non-dangerous or less dangerous;
 7. developing a coherent overall prevention policy which covers technology, organisation
of work, working conditions, social relationships and the influence of factors relating
 to the working environment;
  8. giving collective protection measures priority over individual protective measures;
 9. giving appropriate instructions to employees.

There are other hierarchies from other regulations/ACoPs etc.

 HSG65 Hierarchy.
 Technical, procedural and behavioural Hierarchy.
 Airborne hazardous substances Hierarchy.

It is not really important which hierarchy is used in selecting a risk control measure or combina-
tion of risk control measures. What is important is that it is recognised that some types of risk
control measures are more effective, in the long term, than others and that this is taken into ac-
count when deciding which risk control measures to recommend.

4.3.3 Avoiding risks.

These methods attempt to do something about the hazard, either by eliminating the hazard alto-
gether or by reducing the potency of the hazard so far that it is eliminated.
An example of this is to replace a noisy machine with a less noisy machine or to make the noisy
machine less noisy by running it slower, by employing better maintenance or design modifica-
tions.
Hazardous chemicals can be replaced by a non-hazardous chemical or by using a less hazard-
ous chemical.
Injury from manual handling may be completely avoided by eliminating the need to use manual
handling or by reducing the weight of packages or by providing mechanical aids.
This is also discussed in the Risk Assessment section and Manual Handling sections.
It stands to reason that elimination of a hazard (not doing something that is dangerous) would be
a preferred method and must be considered first.
Construction is inherently dangerous but many risks can be avoided. For example, to avoid risks
of falls on a building project, construct scaffolding as the building grows in height. Consider plan-
ning the project by avoiding simultaneous and incompatible construction operations (worker dis-
tractions are responsible for many occupational accidents). Carefully consider the appropriate
amount of time to be allotted for the performance of different tasks to minimise the pressure that
might otherwise accompany an unrealistic work goal.
Where avoidance is not possible, we will need to consider one or more of the other categories.

4.3.4 Evaluating unavoidable risks.

We started this unit off with an example of an unavoidable risk.

We also need to consider the preparation of Inspection and Monitoring Plans for all relevant op-
erations in terms of risks involved. Consider the technical maintenance, pre-commissioning
checks and regular checks on installations and equipment with the objective of correcting any
faults which might affect the safety and health of workers.

4.3.5 Controlling hazards at source.

All workplace hazards (chemical, physical, etc.) can be controlled by a variety of methods. The
goal of controlling hazards is to prevent workers from being exposed to these hazards. Some
methods of hazard control are more efficient than others, but a combination of methods usually
provides a safer workplace than relying on only one method. Some methods of control are
cheaper than others but may not provide the most effective way to reduce exposures.
The most effective method of controlling hazards is to control at the source by eliminating the
hazard or by substituting a hazardous agent or work process with a less dangerous one.
In simple terms, if steps are slippery, replace or treat them rather than just putting up a warning
sign.
Consider ways of confining and neutralising the risk at the source. Reduce the noise generated
by equipment by selecting equipment that has been engineered to generate less noise. Consider
also the sound-proofing of the engine's compartment. Consider air-conditioning the driver com-
partment on earth-moving equipment so that the work can be performed with closed windows,
therefore avoiding exposing the driver to noise and other environmental hazards as dust and
fumes.

4.3.6 Adapting work to the individual.

It may be possible to adapt the work to the individual, especially as regards the design of work-
places, the choice of work equipment and the choice of working methods, with a view in particular
to alleviating monotonous work and work at a pre-determined work-rate and thereby reducing the
effect on their health.

4.3.7 Adapting to technical progress.

Keep up to date and informed on new developments in ways of working that reduces or eliminate
hazard/risk.

4.3.8 Replacing the dangerous by the less/non-dangerous.

 Reduce hazards by using vegetable-based oil forms instead of dangerous oils;
 Replace materials based on dangerous asbestos with other equivalent and non-
dangerous materials;
 Be aware of the conditions under which the hazardous materials are to be removed (e.g.
existing dangerous asbestos);
 Consider the demarcation and laying-out of areas for the storage of various materials, in
particular where dangerous materials or substances are concerned; and
 Plan the storage and disposal or removal of waste and debris.

4.3.9 Developing a coherent prevention policy.

Develop a coherent overall prevention policy which covers technology, organisation of work,
working conditions, social relationships and the influence of factors related to the working envi-
ronment.

 Consider a formal health and safety (prevention) policy provided by each contractor on
site.
 Ensure co-operation between employers and self-employed persons.
 Consider the interaction with industrial activities at the place within which, or in the vicinity
 of which, the premises are located.
 Choose the location of workstations bearing in mind how access to these workplaces is
obtained, and determine ways or areas for the passage and movement of equipment.
 Keep the premises in good order and in a satisfactory state of cleanliness.
 Consider the conditions under which various materials are handled.
 Implement periodic health and safety audits and inspections.

4.3.10 Priority of collective protective measures.

Give collective protective measures priority over individual protective measures i.e. isolate work-
ers from the hazard/risk by enclosing the process rather than giving out protective equipment.
Consider, for example, safety nets and/or guardrails for fall protection and safety harnesses (to-
gether with all other mandatory personal protective equipment, including hard-hats and safety
shoes).
We will discuss other protective measures i.e. engineering controls later in this unit.

4.3.11 Provision of appropriate training, information and supervision.

Instructions should be simple and only as detailed as needed; consider visual communications;
consider different languages for these instructions according to the origin of workers on site, and
promote health and safety meetings.
Employees need to understand what they need to do to protect themselves.

4.3.12 Health and safety and the safe person.

The Health and Safety at Work Act 1974 places a duty on employers to ensure (so far as is rea-
sonably practicable) the health, safety and welfare at work of their employees.
Traditionally, a hierarchy of measures has been applied which consists of three broad groupings
of strategies relating to:

 Safe place.
 Safe person.
 Safe practice.

4.3.13 Safe place.

Safe place strategies are the steps required to make sure the physical aspects of the workplace,
its location, surroundings and the equipment and plant used are safe.
This is the strategy of first choice as it removes all hazards and removes, or reduces, potential
risk from the workplace.

4.3.14 Safe person.

It is only after all reasonably practicable strategies for safe place and safe practice are in place
that consideration should be given to safe person strategies.
These strategies are related to the use of 'Personal Protective Equipment (PPE)'. They also in-
clude making sure that people are properly trained and behave in a way that ensures safety.
The aim of the safe person concept is to make sure that management systems are primarily de-
signed to focus on making certain that people are safe, rather than creating safe working places
or safe practices.

4.3.15 Safe practice.

It is a relatively new and revolutionary concept as it represents a change from the traditional ap-
proach to safety applied in most other industries. The concept is about management systems and
not just about an individual's responsibilities, although competence of all staff is central to the
whole idea.
Whilst individuals do have responsibilities, it is vitally important that management systems take
account of the frailty and vulnerability of human beings.
The system has a number of key component management systems that include:

 Systems of work.
 Training.
 Equipment.
 Information.
 Supervision.
 Personal Protective Equipment (PPE).
 Personnel selection, recruitment and development.

The concept provides a framework in which the management system approach can be developed
and is fully compatible with the development of a competence framework. Indeed, it relies upon
the management system identifying the skills, knowledge and equipment that employees need so
that when they are at work, they are able to do it safely.
This is achieved by using engineering measures, good design and good specifications to prevent
hazards from arising, stopping hazards from escaping (i.e. gases, toxic chemicals) or separating
people from the hazards (such as by guarding).

4.3.16 A new framework for health and safety.

The new health and safety policy statement and the supporting Safety Management System
(SMS) document in the Authority report aim to give a strategic framework for the more detailed
work that will be carried out over the next few years. The new policy and SMS has been designed
in consultation with the HSE.

4.3.17 Training
Training, Information and Supervision.
A safety awareness strategy should start off with training presentations, preferably involving ac-
tion-based training techniques, so that the audience does not just sit there and listen. Your mes-
sage must avoid negative attitudes at all costs (by which we mean concentrating on gruesome
accidents and warnings of unpleasantness). You must make sure you are targeting those people
who are at some risk, and address them in a way that arrests their attention without going over
the top in your technique.
The message should be simple and specific; if the subject matter is complex, make full use of
visual or audio presentation to explain it. Your message must also be credible, which it will not be
if the audience is suspicious of the motivation behind it. Whatever results you are looking for, they
must be achievable and represent a positive gain for your audience.
The general duty of care which employers owe to their employees under s.2 (1) is defined
in more detail in s.2 (2) of the HSW Act and includes:

 (a) The provision and maintenance of plant and systems of work that are, so far as is rea-
sonably practicable, safe and without risk to health;
 (b) Arrangements for ensuring, so far as is reasonably practicable, safety and absence of
risks to health in connection with the use, handling, storage and transport of articles and
substances;
 (c) The provision of such information, instruction, training and supervision as is necessary
to ensure, so far as is reasonably practicable, the health and safety at work of employees.

4.3.18 Common Health and Safety Training Needs.

The Management of Health and Safety at Work Regulations 1999 specify the training needs ap-
plicable to all organisations. These have long been recognised as being critical in maintaining the
health and safety of all employees.
Regulation 11 specifies that employers must provide adequate health and safety training
when:

 (a) New employees join the company;

 (b) Employees are required to take on new responsibilities;
 (c) Employees are required to use new work equipment or when existing equipment is
changed;
 (d) New technology is introduced into the workplace affecting employee activities;
 (e) New or changed systems of work are introduced.

4.3.19 Induction Training.

Induction training for new employees will be required in all circumstances as they are more likely
to have accidents than existing employees, due to the unfamiliarity of the work environment and
the work systems or equipment.
The prime objective of induction training is to orientate new employees into the existing health
and safety climate and culture.

4.3.20 Task-specific training.

Task-specific training will be required for most jobs and will require:

 Appropriate skills training;

 Discussion of legal requirements and duties;
  Discussion of the significant risks associated with the task;
 Details of the necessary preventative measures and any use of personal protective
equipment; and
 Discussion of the special procedures to be followed in the event of an emergency, immi-
nent danger or the use of permits to work.

4.3.21 Training for managers and supervisors.

Training for managers and supervisors will be required at all levels to ensure that responsibilities
and objectives are fully understood.
It is important for managers and supervisors to appreciate the health and safety legal framework,
the importance of specific rules, and the business consequences of accidents, accident causation
models, likely sources of risk, preventative techniques and disciplinary procedures.
This will help them enforce health and safety procedures, develop a greater awareness of health
and safety issues and inform and motivate their employees positively in the safety effort.

4.3.22 Specific training needs.

Specific training needs might be required in some circumstances, particularly if there is a specific
legislative requirement.

Examples include:

 First aid training;

 Driver training (eg fork-lifts); and
 Training in fire evacuation procedures or fire fighting.

4.3.23 Refresher training.

Refresher training will be required at appropriate intervals; this is a need which is frequently over-
looked.
These intervals will be identified as part of the analysis of training needs.
In general terms, this will be determined through observation of employees and will relate to the
complexity of the task and information required to perform it safely, the degree of risk associated
with it and the frequency with which it is performed.

4.3.24 Ensuring Successful Health and Safety Training.

There are several conditions that need to be satisfied if training programmes are to be successful:

 1. There must be active commitment, support and interest from management. Any training
programme will require resourcing and it is also important for managers to realise the part
they have to play in its success. Managers must lead by example; training will be futile if
the breaking of health and safety rules is condoned or encouraged.
  2. The organisational culture must encourage learning and the use of recently-acquired
skills and knowledge. This is linked to 1 above.

 3. Suitable and competent trainers must be used. Trainers need to be knowledgeable, ca-
pable of applying their expertise to the working environment and familiar with individual
organisational practices, procedures and rules.

 4. Training courses should not be provided in isolation. They will be most effective if the
organisation also recruits and places personnel on the basis of an assessment of capabili-
ties, identifies training needs and provides the necessary information and support.

4.3.25 Motivating for Health & Safety.

Motivation, in organisational terms, attempts to encourage individuals to achieve the aims and
objectives of that particular organisation or company.
The central problem for the health and safety manager is how to encourage individuals or groups
of people to be motivated towards an organisational objective, i.e. to have regard for their own
health and safety and that of others.
Unfortunately for health and safety managers and other managers alike, achieving motivation
across all levels of the organisation is not a simple process. This is because individuals are com-
plex and unique, their behaviour can be affected by peer groups and organisations and they are
adaptable, changing their behaviour as a result of learning.
Nonetheless, individuals are generally better motivated towards the activities they perceive as
having the greatest benefit in the short term, with the fewest inconveniences and they will priori-
tise their goals on this basis.
Here lies one of the difficulties for the health and safety manager when attempting to motivate for
safety. For example, when talking about chronic occupational health conditions, such as noise-
induced hearing loss, the preventative measures may be disregarded for short-term benefits be-
cause the effects take a long time to be realised.
However, few people actively decide to injure themselves. Some decide to ignore safety proce-
dures because they believe that non-observance of rules is expected of them by managers and
supervisors. Others take unsafe action because of the poor design of work equipment, whereas
others may simply not appreciate the risk of injury.
It is also important to realise that if employees are taking risks, it may not be because they are
poorly motivated but because they have not been motivated in such a way that health and safety
is given a high priority over other objectives, such as "getting the job done".
Often, the health and safety manager may simply have to motivate people in the right direction to
achieve greater health and safety awareness among the workforce.

4.3.26 Selection and Placement

Required by MHSWR, the assessment of capabilities and correct placement of personnel re-
duces the risk of injury.
Some British Standards, for example, now specify certain physical attributes to carry out certain
work, such as the recommendations made regarding eyesight requirements for crane operators in
Safe use of cranes.
Training can provide knowledge and skill for a return of positive motivation. It cannot compen-
sate for poor procedure, inadequate selection or weak management.
Supervision plays an important role in ensuring the implementations of standards and motivating
staff. Many accidents occur as a result of poor supervision.
Special emphasis programmes are useful in targeting key areas of risk or pinpointing require-
ments under new health and safety regulations. For example, in response to the Manual Han-
dling Operations Regulations 1992 and the Health and Safety (Display Screen Equipment)
Regulations 1992, an emphasis programme could target the reduction of musculo-skeletal inju-
ries.
Safety media will only motivate a receptive audience. By involving employees in the setting of
health and safety standards, motivation is achieved through increased responsibility and recogni-
tion.
Providing a monitoring system that prioritises improvements of health and safety procedures adds
to this increased responsibility and motivates through a sense of achievement. The sharing of
information, particularly inspection reports can also be a positive motivational tool.

4.3.27 Safety Signs.

The Health and Safety (Safety Signs and Signals) Regulations 1996 apply to all safety signs, no
matter when they were first placed.
They must comply with BS5378, which defines combinations of geometric shapes, colours and
pictorial symbols to provide specific information or instructions.
There are also standard requirements which cover coded systems of acoustic signals, verbal
communications and hand signals (e.g. see BS6736 and BS7121).
Refer also to L64 The Health and Safety (Safety Signs and Signals) Regulations 1996, Guidance
on Regulations, HSE Books; and the free leaflet INDG184 Signpost to the Safety Signs and Sig-
nals Regulations 1996. HSE Books.
There are four categories of signs, which we will discuss in more detail.

Question 10.

Employers must ensure that employees receive training

Multiple Choice (HP)

Answer 1: Commensurate with their work activities
Response 1:
Jump 1: Next page
Answer 2: Appropriate with their work activities
Response 2:
Jump 2: This page
Answer 3: Comfortable with their work activities
Response 3:
Jump 3: This page

4.3.28 Prohibition Sign

Prohibition: Round with white background, red border and cross bar.

 Prohibition/Dangerous;
o (stop; alarm shutdown; emergency cut-out devices; evacuate.

Examples of this are:

 No Smoking.
 No Entry.
 No Naked Lights.
 Prohibited Area.

Supplementary text may be added to each category of safety sign, so long as it does not interfere
with the symbol.
Some examples are shown below.
Examples of safety signs:

 (a) Prohibition.
 (b) Warning.
 (c) Mandatory.
 (d) Safe Condition.

Also note that a combination of the types of signs can be used.

Prohibition Signs.

Figure 1.

Figure 2.
Figure 3.

Figure 4.

Figure 5.

4.3.29 Warning Signs.

Warning: Triangular with yellow background and black border.
Warning: Be careful; take precautions; examine.
Examples are:

 Deep Water.
 Radiation.
 Toxic Substances.
 Irritant.
 Corrosive.
 Electricity.
 Explosive.

Warning sign examples.

Figure 1.

Figure 2.

Figure 3.
Figure 4.

Figure 5.

4.3.30 Mandatory Signs.

Mandatory: Round with solid blue background and white symbol.

Mandatory: Specific behaviour or action means that this is something you must do.
Examples are:

 Wear Ear Protection.

 Hard Hat.
 Wear Protective Gloves.
 Keep Fire Doors Shut.
  Wash Your Hands.
 Safety Boots Must Be Worn.

Examples of Mandatory signs.

Figure 1.

Figure 2.

Figure 3.
Figure 4.

Figure 5.

4.3.31 Safe Condition Signs.

Safe Condition: square or oblong with white symbols on green background.

Leads you to a safe condition - Emergency Doors; exits; escape; escape routes: first aid.
Examples are:

 First Aid.
 Emergency Showers.
  Emergency/Fire Exit.

Examples of Safe Condition signs.

Figure 1.

Figure 2.

Figure 3.
Figure 4.

Figure 5.

4.3.32 Other Safety Signs.

Below are are examples of other typical 'Safety Signs'.

Figure 1.

Figure 2.
Figure 3.

Figure 4.
Figure 5.

Figure 6.
Figure 7.

Figure 8.
Figure 9.

Figure 10.

4.3.33 Safety Signs cont.

Examples of safety posters:

Figure 1.

Figure 2.
Where the marking of dangerous locations is deemed necessary (e.g. highlighting the edge of a
raised platform or area or restricted heights), yellow & black or red & white stripes may be used.
The marking of traffic routes should take the form of continuous lines, preferably yellow or white.
Fire fighting signs are rectangular or square with a white pictogram on a red background.
All signs must have a pictogram upon them, including fire exit (safe condition) signs; existing
signs combining the relevant pictogram and a written message are still acceptable.
Pipe work containing dangerous substances must be marked, particularly at sampling or dis-
charge points (not forgetting that water under pressure or in the form of steam is dangerous).
There is also a requirement that unfamiliar signs must be explained to employees.
Package and container markings or labels may be covered by the Chemicals (Hazard Information
and Packaging for Supply) Regulations 2009, as amended.
Traffic management signs are covered by the Road Traffic Acts.
Recently, those who are 'Occupiers of Premises' are adding braille to some signs, particularly to
fire exit signs on doors.
Under the Regulations an employer must ensure that comprehensible and relevant information
on the measures to be taken in connection with safety signs is provided to all employees, who
must receive suitable and sufficient instruction and training in the meaning of safety signs.
Posters in the work place have proven to be very effective. In one case, a large food processing
company engaged the children of the factory workers in designing a safety poster. The local
school was also involved. A competition was held to find the best poster. All of the children's
posters were put up in the works canteen. One poignant message on these posters read, 'Daddy
Come Home Safe'.
You will be aware that many companies position posters at the entrance to the works.
Examples are: 'Safety Starts Here'. On construction sites, you will often see the poster, 'No Hat,
No Boots, No Job'.
The use of posters should ideally be only one part of a campaign or strategy for communicating
your safety awareness message

Question 11.

What are the following main colours of these safety signs?

Prohibition
Safe Condition
Mandatory
Warning
Multiple Choice (HP)
Answer 1: Red, Green, Blue, Yellow
Response 1:
Jump 1: Next page
Answer 2: Red, Blue, Yellow, Green
Response 2:
Jump 2: This page
Answer 3: Blue, Red, Yellow, Green
Response 3:
Jump 3: This page
Answer 4: Green, Yellow, Red, Blue
Response 4:
Jump 4: This page

4.3.34 General hierarchy of control in detail.

We will remind you of the hierarchy of controls in this section. Please note that an explanation of
this can found in the Risk Assessment unit.
Order of Control Measures Priority:

 (1). Total elimination or avoidance of the hazard at source.

 (2). Substitution of the hazard at source.
 (3). Placing a guard of some kind.
 (4). Remove the employee from the hazard.
 (5). Reduce the exposure of the employee from the risk.
 (6). Produce a safe method of working, safe system, safe procedure, that is known to the
employee and followed.
 (7). Ensure adequate and suitable levels of supervision.
 (8). Training.
 (9). Make safety rules, or issue instructions.
 (10). Issue Personal Protective Equipment (PPE).

A useful mnemonic is:

ESP, RRP, STiRPE = Hierarchy.
A good way to remember something is to attach a contextualising sentence to it, such as:
If I could read people's minds, (ESP), I would use respiratory equipment, (RPE) so that I don't get
contaminated with stripes (STiRPE).
You will note that some of the control measures will require additional measures, for instance,
training on the job may require close supervision, issuing PPE will require training in its use etc. It
is essential that you can recall this list in the correct order for your NEBOSH examination.

4.3.35 Total elimination or avoidance of the hazard at source.

Elimination of a specific hazard or hazardous work process - or preventing it from entering the
workplace - is the most effective method of control.
Eliminate hazards at the development stage.
It is important to consider worker health and safety when work processes are still in the planning
stages. For example, when purchasing machines, safety should be the first concern, not cost.
Machines should conform to the relevant safety standards. They should be designed with the cor-
rect guard on them to eliminate the danger of a worker getting caught in the machine while using
it.
Machines that are not produced with the proper guards on them may cost less to purchase, but
cost more in terms of accidents, loss of production, compensation, etc.
Unfortunately, many used machines that do not meet safety standards are exported to develop-
ing countries, causing workers to pay the price with accidents, hearing loss from noise, etc.

4.3.36 Substitution.

If a particularly dangerous chemical or work process cannot be completely eliminated, then try to
replace it with a safer substitute.
This could involve, for example, using less hazardous pesticides such as those based on pyre-
thrins (prepared from natural products), which are thought to be less toxic to humans than some
other pesticides.
This particular substitution is practised in some countries because the substitute chemicals do not
leave residues on food and therefore reduce long-term costs.
However, the substitute materials may cost more to buy and may cause resistance in insects. So
you can see there are many factors to consider when choosing a chemical or chemical substitute.
It is not easy to find safer chemical substitutes; in fact, no chemical should be considered com-
pletely safe. It is important to review reports on the chemicals used in the workplace every year or
so, because chemicals considered to be safer substitutes today may not be considered safer in
the future.
When looking for safer substitutes, try to choose a less volatile (volatile liquids vaporise, or
evaporate easily) instead of a highly volatile one, choose a solid instead of a liquid, etc. For ex-
ample, many dry, dusty powders are also available in brick, pellet, paste, flakes, oil damped pow-
ders, and other forms that create less dust when handled, and reduce the chance of inhaling the
dust.
Many plastics and rubber industry chemicals can also be supplied in dust-suppressed forms.
These materials can be more expensive to purchase but they are safer for workers to handle and
can be cheaper when other costs are considered, such as the cost of ventilation to control dust,
personal protective equipment, etc.
Other examples of substitution include using:

 Less hazardous solvents instead of toxic ones (such as 1,1,1-trichloroethane (methyl chlo-
roform), dichloromethane or fluorochlorohydrocarbon instead of carbon tetrachloride; and
toluene, yclohexane or ketones instead of benzene);
 Detergent plus water-cleaning solutions instead of organic solvents;
 Freon instead of methyl bromide chloride as a refrigerant;
 Leadless glazes in the ceramics industry;
 Leadless pigments in paints;
 Synthetic grinding wheels (such as aluminium oxide, silicon carbide) instead of sandstone
wheels.

 Are substitute materials always safer than the original hazard?

No. When you choose substitute materials, try to find out if the new substance is really safer or
not.
There are examples where a material that was thought to be safer was found to be as bad as - or
worse than - the original hazard.
A classic example is asbestos. Fibreglass has been used as a substitute for asbestos; however, it
is now known that fibreglass is also a hazardous material and is not a completely safe substitute
for asbestos.
A substitute may be better than the original hazard, but that does not mean it is safe. Water jets
for drilling reduce dust but they do not reduce vibration, so workers still need protection.
Figure 1.

4.3.37 Substitution continued.

Can dangerous work processes be substituted with safer processes?
Yes. Changing the way you do a job so that it is safer is another form of substitution.
For example, vacuuming up dust instead of sweeping it, or using wet methods to control dust are
safer ways to work with dusty materials.
Wet methods mean spraying water over a dusty surface to keep dust down, or mixing water with
the material used to prevent dust from being created.
Another is using a water jet for drilling, mining and quarrying instead of dry drilling. These meth-
ods reduce the amount of dust in the air.
Use a vacuum cleaner when cleaning up toxic dust. Never sweep toxic dust - sweeping puts the
dangerous dust back into the air where you can breathe it.
Figure 1.

4.3.38 Substitution continued.

Other examples of changing a work process and/or the equipment used include using:

 Electric motors instead of diesel or petrol engines to eliminate hazardous exhaust fumes;
 Dust-free cutting or grinding equipment;
 Dip or brush instead of spray painting;
 Floating plastic balls on open-surface tanks (for degreasing, leather finishing, dyeing, etc.)
to reduce the evaporation surface;
 Covered containers to carry materials which produce air contaminants.

Referring to figure 1 below, please see the following examples.

Example A.
Is better than example B because the hazard is almost completely enclosed.

Example B.
Is better than example C because there is some enclosure and the fumes are drawn back, away
from the breathing zone.

Example C.
Offers almost no protection.
Figure 1.
4.3.39 Placing a guard of some kind.

If a hazardous substance or work process cannot be eliminated or substituted, then enclosing it

so workers are not exposed to the hazard is the next best method of control.
Many hazards can be controlled by partially or totally enclosing the work process.
Highly toxic materials that can be released into the air should be totally enclosed, usually by using
a mechanical handling device or a closed glove system that can be operated from the outside.
Whole areas of a plant can be enclosed by requiring workers to operate those areas from a con-
trol room.
Enclosing hazards can minimise possible exposures, but does not eliminate them. For example,
maintenance workers who service or repair these enclosed areas can still be exposed.
To prevent maintenance workers from being exposed, other protective measures (such as protec-
tive clothing, respirators, proper training, medical surveillance, etc.) must be used, as well as
safety procedures.
Machine guarding is another form of enclosure that prevents workers from coming into contact
with dangerous parts of machines. Workers should receive training on how to use guarded ma-
chines safely.
Some of the areas of a machine that can cause injury are:

 The point of operation (which is the area on a machine where work is actually being per-
formed);
 Pinch-points;
 Sharp areas, such as blades;
 Exposed electrical components, which can cause electrical shock or burns;
 Presses, which can crush;
 Rotating parts;
 Flying chips and sparks.

Here are a few examples of types of machine guards (We will cover these and others in
more detail within unit 9):
Enclosure guards: Prevent contact with the dangerous moving parts of a machine by enclosing
the parts or forming a barrier around the dangerous parts. This type of guard also prevents the
danger of impact by broken and flying machine parts.
Interlocking guards: Prevent operation of the machine if the guard is not in place, or automati-
cally stop the machine if part of the operator's body enters a dangerous area. Photo-electrical or
mechanical-sensing devices (such as a photo-electric eye) are examples of interlocking guards.
Automatic guards: Actually pull or push the operator's hands, arms, or body away from the dan-
ger zone as the work is being done.
Remote control, feeding, placement or ejecting guards: these control methods protect the opera-
tor from dangerous points of operation. For example, a two-handed control requires both hands
to be on the controls (away from the danger zone) when the machine is operated. This is a com-
mon method with punch/stamping presses; a feeding mechanism may use an automatic device to
feed material into the machine, so that this is not done by hand.

4.3.40 Placing a guard of some kind continued.

Designing machine guards.

Guards can often be built in the workplace at low cost.
Here are some helpful points for designing and building machine guards:
  Complete enclosure is preferable to a partial enclosure.
o A partial guard should be avoided.
 Guards should fit the danger areas as closely as possible.
o Caution: a moving belt rubbing against a fixed guard can not only damage the belt
but may also be a potential source of fire.
 Guards should be combined with feeding and ejection where possible.
 Guards should leave the operation easy to see.

Figure 1. Unguarded machines are hazardous.

Question 12.

_____ prevent you from coming into contact with the dangerous moving parts of a machine. This
type of guard also prevents broken and flying machine parts from hitting you.
Multiple Choice (HP)
Answer 1: Enclosure guards
Response 1:
Jump 1: Next page
Answer 2: Interlocking guards
Response 2:
Jump 2: This page
Answer 3: Automatic guards
Response 3:
Jump 3: This page
Answer 4: Ejecting guards
Response 4:
Jump 4: This page

4.3.41 Remove the employee from the hazard.

Isolation/segregation can be an effective method of control if a hazardous job can be moved to a

part of the workplace where fewer people will be exposed, or if a job can be changed to a shift
when fewer people are exposed (such as a weekend or night shift).
The worker can also be isolated from a hazardous job, for example by working in an air-
conditioned control booth.

Figure 1. Safety devices on machinery.

4.3.42 Remove the employee from the hazard continued.

No single isolation method is effective on its own. Isolation methods should be used in combina-
tion to minimise the chance of exposure.
Whether it is the job or the worker that is isolated, access to the hazardous work area should be
limited to as few people as possible to reduce exposures.
It is also important to limit the length of time and the amount of a substance(s) to which workers
are exposed if they must work in the hazardous area.
For example, dust-producing work should be isolated from other work areas to prevent other
workers from being exposed. At the same time, workers in the dusty areas must be protected and
restricted to only a short time working in those areas.
Remember - isolating the work process or the worker does not eliminate the hazard, which
means workers can still be exposed.
Figure 1. Isolation.

4.3.43 Ventilation.
Ventilation in the workplace can be used for two reasons:

 (1). To prevent the work environment from being too hot, cold, dry or humid;
 (2). To prevent contaminants in the air from getting into the area where workers breathe.

Generally, there are two categories of ventilation: local exhaust ventilation and general ventila-
tion.
Whatever the type, ventilation should be used together with other methods of control.
Local exhaust ventilation usually uses suction, based on the principle of a vacuum cleaner, to
remove pollutants from the air.
There are two common types of local exhaust ventilation used in industry today:

 (1). Fumes are sucked into an open tank with side slots and into a closed system, through
which they are then transferred to a disposal point away from the workers (a degreasing
tank is an example of this);
 (2). Fumes are sucked into a canopy hood which hangs over a contaminant and forced
out through a ventilation duct. This type is very effective where the air pollutants have a
high temperature, or if they rise in the air for another reason (for example, the heat from
furnaces or ovens causes pollutants to rise).

Exhaust ventilation can also include the use of flexible piping. The end of the pipe that draws in
the contaminants (the inlet) must be placed as close as possible to the source of the hazard in
order to be effective. Flexible piping is often used to draw welding fumes away from the worker
and to draw away contaminants in work areas that are hard to reach.
Partial enclosure (such as laboratory fume cupboards or screens placed around welders) com-
bined with a local exhaust ventilation system is one of the best solutions for controlling toxic ma-
terial.
This type of system must operate as close as possible to the source of the hazardous agent to
reduce it from spreading, yet at the same time allow access to the work process.

Figure 1. Ventilation.

4.3.44 General ventilation.

General ventilation, which is generally used for keeping the workplace comfortable, is one of the
least effective methods of controlling hazards but one of the most commonly used.
The purpose of any general ventilation system is to remove contaminated air and replace it with
fresh air.
This system does not really remove hazardous agents from the air; it simply reduces the amounts
in the air to levels that are considered safe for breathing.
The effectiveness of a general ventilation system depends on several things, including:

 How quickly the hazardous agent is being released into the air;
 How much and how quickly fresh air is coming in; and how the contaminated air is being
removed.

Unfortunately, many workplaces use general ventilation as the only source of ventilation. Air-
bricks, windows and doors may be opened to increase the general flow of air. However, these
openings are often blocked or shut.
Doors and windows are sometimes locked for security reasons, air-bricks may be blocked by ex-
cess stock being stored across them, etc.
Without good general ventilation, hazardous agents in the air can accumulate (sometimes to
dangerous levels), and the workplace may become very hot, difficult to work in and dangerous.
4.3.45 Separation.

These methods rely on the effectiveness of maintaining a suitable distance between the hazard
and people who could be harmed by that hazard. Typical examples include overhead electrical
power supply lines and the storage of flammable materials at locations that are remote from peo-
ple.
All separation methods suffer from the same weakness, that there is nothing to stop a person ap-
proaching the hazard, deliberately or not and there is usually little in the way of back up.

4.3.46 Reduce the exposure of the employee to the risk.

Administrative controls limiting the amount of time workers spend at a hazardous job can be used
together with other methods of control to reduce exposure to hazards.
Some examples of administrative controls include:

 Changing work schedules (for example, two people may be able to work for four hours
each at a job instead of one person working for eight hours at that job).
 Giving workers longer rest periods or shorter work shifts to reduce exposure time.
 Moving a hazardous work process to an area where fewer people will be exposed.
 Changing a work process to a shift when fewer people are working.

An example of administrative controls being used together with engineering controls and
personal protective equipment is:

 A four-hour limit for work in a fully-enclosed, high noise area where ear protectors are re-
quired.

Remember:

 Administrative controls only reduce the amount of time you are exposed to a hazard - they
do not eliminate exposures.

Question 13.

Ways to reduce the exposure of the employee to the risk is through:

Multiple Choice (HP)

Answer 1: all of these
Response 1:
Jump 1: Next page
Answer 2: changing work schedules
Response 2:
Jump 2: This page
Answer 3: giving workers longer rest periods
Response 3:
Jump 3: This page
Answer 4: giving shorter work shifts
Response 4:
Jump 4: This page

4.3.47 Produce a safe method of working, safe system & safe procedures.

Produce a safe method of working, safe system, safe procedure that is known to the employee
and followed.
Employers are under a legal duty to provide safe systems of work (i.e. ways of doing things) for
their staff (Section 2(2), HASAWA).
It is unlikely that safe systems will occur in a workplace naturally, so it is important that
you assess tasks with safety uppermost in your mind and consider issues such as those
below:

 What are the risks from this task?

 How can these risks be eliminated or minimised by a safe system of work?
 Does everyone know and understand the safe system of work?

Safe systems can involve the use of protective clothing, proper lifting techniques or the use of
proper equipment or guards for example.
For certain jobs, such as machinery maintenance or working in confined spaces, safe systems of
work should be incorporated into a permit-to-work system in which workers must read and sign
written instructions prior to starting work.
A quarter of all fatal accidents at work involve simple failures in systems of work. Further informa-
tion on safe systems and permit-to-work systems will be discussed later in this unit.

4.3.48 Ensure adequate and suitable levels of supervision.

The next few controls have been covered elsewhere within this course, so we have only added a
few words.
Close supervision is sometimes required for complex high risk activities or where the employee(s)
are inexperienced, young, require training etc.

4.3.49 Training.

Employees require safety training commensurate with their work activities.

4.3.50 Make safety rules, or issue instructions.

Ensure that employees are aware of these rules and follow them.

4.3.51 Issue personal protective equipment (PPE).

Personal Protective Equipment (PPE) is the least effective method of controlling occupational
hazards and should be used only when other methods cannot control hazards sufficiently.
PPE can be uncomfortable, can decrease work performance and can create new health and
safety hazards.
For example, ear protectors can prevent you from hearing warning signals, respirators can make
it harder to breathe, earplugs may cause infection, and leaky gloves can trap hazardous chemi-
cals against the skin.
Examples of PPE include:

 Safety glasses.
 Ear protectors.
 Respirators with filters.
 Dust masks.
 Gloves.
 Protective suits.
 Safety shoes.

PPE should be acceptable only when your employer cannot control hazards with engineering
controls. However, if it is impossible to reduce hazards so that there is no health risk to workers,
then PPE must be used.
PPE puts a barrier between the worker and the hazard. PPE may keep the hazard out, but it also
keeps heat and water vapour in the protective clothing, which can cause you to be hot and un-
comfortable. Later in this unit, we will discuss PPE further (requirements, benefits and limitations).

4.3.52 Advantages and disadvantages of control methods.

ELIMINATION.

 1. Complete.
o Advantages- health hazard is removed.
o Disadvantages - possible sacrifice of production and loss of jobs.
 2. Substitution.
o Advantages - Health hazard is removed and production continues.
o Disadvantages - New hazards may be introduced.

ISOLATION *.

 1. Enclosure.
o Advantages - Maximum reduction of exposure.
o Disadvantages - Not 100 per cent under control; accidents and leaks possible.
 2. Ventilation.
o Advantages - Some reduction of exposure.
o Disadvantages - Very problematic; largely inadequate on its own; exposures easily
occur if not used with enclosure; only helps to control airborne hazards.
 3. Sanitation and handling.
o Advantages - Minimal reduction of exposure.
o Disadvantages - Depends on work habits; offers little control on its own.
 4. Personal protection.
o Advantages - Minimal reduction of exposure.
o Disadvantages - Depends on work habits; burden of control rests largely on the in-
dividual worker; contamination or failure of gear.

MONITOR.
  Advantages - Early warning of hazards.
 Disadvantages - None.

ORGANIZE; EDUCATE; AND LABEL HAZARDS.

 Advantages - Prevention of hazards.

 Disadvantages - None.

* Isolation methods are ranked from most effective (#1) to least effective (#4).
They should be used in combination, with emphasis on enclosure.
Note: Always remember that the financial costs of implementing good controls cannot be meas-
ured against people's health. In the long run, it is much more economical to control the problem at
its source.

4.3.53 Other methods of control.

Good housekeeping.
Keeping a clean and organised workplace is an important method of controlling hazards.
Good housekeeping reduces the risk of fire and is cost-effective, since machines and tools that
are cleaned regularly need less servicing.
At the same time, maintaining a pleasant working environment can produce higher productivity.
Good work practices include:

 Proper cleaning at regular intervals (using industrial vacuum cleaner).

 Proper waste disposal.
 Proper and immediate clean-up of any spills.
 Correct storage and labeling of materials.

Good housekeeping, as a method of controlling hazards, should be planned when work proc-
esses are in the design stage, not after the factory is already operating .
Planning ahead for good housekeeping can be as easy as installing shelves and window ledges
that do not collect dust, or having the appropriate floors slightly sloping with gullies so that they
can be easily washed.
Figure 1. Example of poor house keeping.

Figure 2. Example of good house keeping.

4.3.54 Are safety signs a method of control?

Simply put - No, safety signs are not a method of control.

Employers often think they are demonstrating their commitment to safety by posting signs
around the workplace such as: 'Be safe', 'Use machine guards', 'Safety is sense', 'Always use
your protective equipment'.
However, safety signs do not protect you and do not remove hazards.
A safety sign can be, at best, a reminder or a warning about probable dangers. If they are used
as safety reminders, signs should be changed regularly (otherwise you get used to them and do
not notice them any more) and placed where they can easily be seen.

4.3.55 Personal hygiene.

Personal hygiene (cleanliness) is also very important as a method of controlling hazards.

Your employer should provide facilities so you can wash and/or take a shower every day at the
end of your shift, no matter what your job is.
Wash your skin and hair with a mild soap, rinse and dry your skin completely to protect it.
Washing hands regularly and eating and smoking away from your work area help to prevent in-
gesting contaminants.
Do not take workplace hazards home with you!
Lack of personal cleanliness can affect your family's health.
Your family can be exposed to the hazards you work with if you bring chemicals and other work-
place contaminants home with you on your clothes, hair or skin.
Before you leave work, wash/shower and change your clothes, when necessary, to prevent bring-
ing workplace contaminants home.
Figure 1. Contamination control.

4.3.56 Personal hygiene continued.

Leave your dirty clothes at work or, if you must wash them at home, wash them separately and
not with the family wash.
It may seem that the amount of contaminant you can bring home on your clothes or skin is very
small and cannot hurt your family. In reality, a small exposure every day for months can add up to
a big exposure. A classic example of spreading the hazard involves asbestos, where wives of as-
bestos workers have developed asbestosis from exposure to the asbestos on their husbands'
work clothes. Similarly, children have developed lead poisoning from exposure to lead which
comes home on their parents' work clothes.
If employees are wearing protective clothing such as aprons, laboratory coats, overalls, etc.,
these should be cleaned regularly and should be inspected for holes or areas that are worn out.
Workers who launder these clothes should be trained in the types of hazards they may work with
and how they can be controlled.
Inspect your underclothes at home for any signs of contamination with oils, solvents, etc. If you
find any signs, then it means your protective clothing at work is not effective.
Figure 1. PPE Contaminant Inspection.

4.3.57 PPE.
Personal Protective Equipment (PPE) at Work Regulations 1992.
Personal protective equipment may be broadly defined to mean "Any equipment or apparatus
which is intended to be worn or held to protect against risks to health or safety".
This section does not specify the circumstances where personal protective equipment ought to be
used. Its purpose is to identify the legal obligations on employers on the use of personal protec-
tive equipment.
Employers are required to assess the risks of their work activities and to instigate appropriate
control strategies. Although the issue of Personal Protective Equipment (PPE) is generally a
strategy of last resort, this section will indicate where it might be appropriate.
Distributing Personal Protective Equipment (PPE) is sometimes a rushed decision because it
seems easy and obvious: sometimes it can be a deliberate choice, to provide temporary protec-
tion until the workplace can be made safe, or on occasion its use can be permanent, because of
the cost involved in making the workplace safe.
However, PPE is sometimes issued without important questions having been asked, let alone an-
swered, about its effectiveness, its compatibility with other personal protection, user acceptance
and possible effects on the personal safety of the user.
The first decision about any risks is whether to make the place of work safe or to use personal
protection.
The answer 'yes' to the question "Will the providing of personal protection control the risk ade-
quately?"; Can be too attractive when set against the consequences of saying 'no'.

4.3.58 PPE continued.

Personal protective equipment is initially selected to provide protection against a particular risk.
To assess its adequacy and to ensure that in theory at least it is capable of providing an
adequate safeguard, it is necessary to obtain the following information:
  1. Nature of the risk.

Qualitative and quantitative information is needed about the particular risk, e.g. the chemical
structure and the concentration of any airborne contaminants need to be known before respira-
tory protective equipment can be selected.
Similarly, gloves cannot be chosen before the chemical and physical characteristics of the mate-
rials to be encountered are known.
Data is needed from which to deduce the ability of the equipment to reduce the particular risk.
Usually this is available from the manufacturers of the protective equipment and this can be mar-
ried to the material safety data sheet supplied by the chemical/substance supplier.
Consideration of the specification of equipment, together with information provided in the material
safety data sheet supplied with the chemical will allow an assessment to be made of the equip-
ment's ability to reduce a particular risk.

 2. Acceptable level of exposure.

For many risks, there is no acceptable level; for example, protection of the eyes against projectile
impact or the skin from attack by caustic materials. The occupational exposure standard or some
fraction of this may be used as an acceptable level for other dangers, such as the protection of
hearing against noise exposure or eyes from laser radiation.

 3. Degree of protection.

The calculated degree of protection will not be achieved in practice unless the following
criteria have been satisfied:

 Management commitment to the scheme.

The commitment of senior staff is a vital ingredient for a successful PPE scheme. Management
not only need to wear the equipment themselves when they are in the hazardous areas, they also
need to underpin the scheme with written systems and procedures for updating it to cope with
changes in the work, personnel, statutory requirements or equipment availability.
The fit of the equipment on the user is as good as the fit achieved during the manufacturer's
original performance tests.
It is vital to check the fit of the protection when it is initially issued to the user and regularly while it
is in use. The PPE must be worn at all material times. Wherever possible, the users should be
given a choice from a range of items, all of which are theoretically capable of providing adequate
protection.

 The equipment is cleaned and maintained.

It may be possible to leave cleaning to the users (provided that all necessary cleaning materials
are made available). It should not be assumed that users can satisfactorily maintain their own
personal protective equipment since any gradual deterioration in performance is unlikely to be
noticed by the user. The use of disposable items can reduce the need for maintenance but there
is still a maintenance requirement, for example, the maintenance of the dispenser for disposable
earplugs.

 Those involved in the scheme receive training.

Users and supervisory staff need to know against what the equipment can and cannot protect,
how to fit and clean the equipment, and when to have it replaced. Those responsible for issuing
and maintaining the equipment also require adequate training to perform their functions.

 The scheme is monitored.

The use of PPE needs to be monitored for use and effectiveness during departmental self-
inspection. Usage and maintenance will be monitored centrally by safety personnel. Marking ar-
eas where PPE has to be used reminds people entering these areas. Small personal protection
areas which mirror subjective impressions are more successful.

 Its effect on job performance is assessed.

A common reason given by people for not wearing PPE is that it makes the job more difficult to
perform or that they feel less safe when using it. Do not dismiss such complaints lightly.

4.3.59 PPE continued.

4. Assessing personal protection schemes.

Set out below is a list of questions which provide a basic framework for assessing the adequacy
of any scheme involving the issue of PPE.

 Why is PPE being used to control the risk rather than making the place of work safe?
 What efforts are being made to phase out the use of personal protection when methods
become available to make the place of work safe?
 Does the equipment theoretically provide adequate protection?
 Does the PPE provide the same degree of protection in practice? For example, does it fit
all members of the user population and is it worn all the time by people at risk?
 What provision has been made for cleaning and maintaining the PPE?
 What provision has been made for training all those involved with the scheme?
 Is the marking of personal protection areas adequate?
 What provisions have been made for updating the personal protection scheme?
 What checks are made to ensure that the PPE is used properly when required?

The need for personal protective equipment will be highlighted by risk assessments made under
the Management of Health and Safety at Work Regulations, Control of Substances Hazardous to
Health Regulations (COSHH), or similar legislation.
More specifically, if it is suggested that PPE might be necessary for any reason at all, then under
the Personal Protective Equipment at Work Regulations 1992, an assessment of the risks to
health and safety which have not been mitigated by any other means must be carried out in order
to define the characteristics which the PPE must have in order to be effective against those risks.

4.3.60 Head Protection.

The Construction (Head Protection) Regulations 1989 require suitable head protection to be
provided and worn when there is a risk of head injury during construction or maintenance work.
In addition, the general requirements of the PPE Regulations demand that head protection is
worn if there is a risk of injury from horse riding, falling materials, knocking into things such as low
scaffolds or pipe work.
There are many situations where head protection might be necessary e.g. working at height or in
enclosed spaces, etc.
Head protection is considered suitable if it:

 Protects the wearer against the risk of head injury;

 Conforms to the appropriate British or European Standard;
 Is suitable for the work or activity carried out by the wearer;
 Is adjustable to provide a good fit.

Helmets come in a variety of designs and it is important that the right type of helmet is provided
for the work. Check the manufacturer's specifications.
In some situations, the wearer may be required to wear additional hearing or eye protection. The
helmet must not be modified to take these fittings as this may weaken it. Helmets provided with
proper attachment points must be used.
Head protection should be periodically checked for damage such as cracks, serious scratches
and dents and replaced whenever necessary; the usual recommendation is every two years.

4.3.61 Hearing Protection continued.

Ear defenders are used to prevent damage to hearing. Exposure levels are expressed as a func-
tion of intensity and time e.g. 80 dB (A) for a period of 8 hours or its equivalent. The Control of
Noise at Work Regulations 2005 specify a series of action levels.
At 85 dB(A) averaged over the working day, employers must reduce noise levels where reasona-
bly practicable, designate ear protection zones and ensure employees are provided with and
wear ear protectors. Other more specific action levels can be studied within the Noise at Work
section.
Much useful information on this general subject is to be found in the HSE publication "Noise at
Work: Noise Assessment Information and Control" HS(G) 56.
There are three main types of hearing protection.
Ear plugs: Are effective in moderately noisy areas.
There are several types are available:

 (1). Wax impregnated cotton wool.

 (2). Moulded plugs of rubber or plastic
 (3). Individually moulded earplugs or acrylic, silicone or synthetic rubber in a fluid paste.
 (4). Compressible foam earplugs.
 (5). Hollow plugs pre-moulded or rubber or plastic with a valve system to attenuate noise
but which allows speech to pass.

Earmuffs: These consist of two rigid cups which cover the ears and are fitted with absorbed ma-
terial. They fit to the head by means of soft sealing rings containing fluid or foam.
Helmets: Noise helmets produced from specially-shaped acoustic insulating material are avail-
able from anyone likely to be subjected to noise above 115dB(A).
These insulate the bone structure of the skull and neck which transmits very high intensity noise
to the ears.
There are three main points to consider when selecting hearing protectors:

 Will they give sufficient protection?

o The frequency, spectrum and intensity of the noise must be considered.
 Are they right for the working conditions?
o If head protection is being worn, earmuffs fitted to the hard hat and/or earplugs are
 most suitable.
o If processes are dusty or dirty, then soft plugs which need to be moulded by hand
could lead to ear infection unless good personal hygiene is observed.
 Are they right for the wearer?
o Where possible, employees need to be given a choice of appropriate protection so
they can choose the most comfortable type.

4.3.62 Eye & Face Protection.

Eye protection guards against the hazards of impact.

For example:

 Splashes from chemicals or molten metal, liquid droplets such as chemical mists and
sprays, dust, gases, welding arcs (non-ionising radiation) and light from lasers.
 The use of any manual or power-driven tool, compressed air or water supply where there
is a risk from particles or fragments being thrown off.
 Work with molten metal.
 The manipulation of acids, alkalis, other corrosive materials whether liquid or solid and
other substances, which are similarly injurious to the eyes such as liquid gases where
there is a risk from splashes or particles being thrown off.
 Any process involving the use of an exposed electric arc or an exposed stream of arc
plasma.
 Any process using a laser where there is a risk from emitted radiation.
 Micro-organisms capable of causing local infection.

Safety spectacles: Are similar in appearance to prescription spectacles. They often incorporate
optional side shields. To protect against impact, the lenses are made from tough optical quality
plastic such as polycarbonate. They are generally light in weight and available in many styles.
Eye shields: Are designed with a frameless one-piece moulded lens. Vision correction is not
possible as the lenses cannot be interchanged. Some eye shields may be worn over prescription
spectacles.
Safety goggles: Are heavier and less convenient to use than spectacles or eye shields. They are
made with a flexible plastic shield, a one-piece lens of toughened glass or plastic and have an
elastic headband.
They afford the eyes total protection from all angles as the total periphery of the goggle is in con-
tact with the face. The lens is of toughened glass or plastic.
Face shields: Are heavier and bulkier than the above but are comfortable if fitted with an adjust-
able head harness. They protect the face but do not fully enclose the eyes and therefore do not
protect against dust, mists or gases. They can be worn over standard prescription spectacles.

4.3.63 Respiratory Protection.

Whenever toxic materials which are liable to produce dust, mists or vapours are being used, there
is a possibility of a respiratory hazard. The CoSHH Regulations require that the risk of exposure
should be controlled at source, but there are occasions where this is not practicable.
Under these circumstances, the use of Respiratory Protective Equipment (RPE) needs to be
considered.
The following questions need to be addressed:
  Is the respiratory hazard gaseous, particulate or a combination of both?
 What are its physical and chemical properties and physiological effects?
 What concentration is expected?
 What might be generated during an accident?
 Is continual or intermittent exposure likely to occur suddenly or can advance warning be
expected?
 For how long will the RPE be worn?
 What are the environmental conditions, for example, inside and outside temperature or
work in confined spaces?
 How far is the contaminated area from the nearest likely source of clean air?
 In the case of dusts, what is the predominant particle size?

The overall choice of equipment is wide. As the wrong choice could seriously affect the health of
the wearer, or lead to asphyxiation, expert advice is essential. The supply and appropriate train-
ing and information to the wearer are equally important.
Additional Information.
The following is taken from BS4275, 1974 entitled "The Selection, Use and Maintenance of
Respiratory Protective Equipment". This describes the classification of respiratory protective
equipment, showing the two main classes to be respiratory and breathing apparatus.
The law requires that PPE has to be either approved by the Health & Safety Executive or Marked
CE.
The HSE publication "Respiratory Protective Equipment: Legislative Requirements and
Lists of HSE Approved Standards and Type Approved Equipment (ISBN 0 11 88560 9)" de-
scribes in detail the type of equipment approved for various purposes.
The HSE publication "Respiratory Protective Equipment: A Practical Guide for Users?, HS
(G) 53 (ISBN 0 11 885522 0)" gives much useful information on the topic generally.
Failure of RPE means immediate exposure to the hazard against which protection is sought.
There is no field in the whole area of personal protection at work in which such meticulous care is
more necessary.

4.3.64 General & Specialist Clothing.

The Personal Protective Equipment at Work Regulations 1992 govern the provision and use
of protective clothing. Protective clothing may also be required following a risk assessment car-
ried out under COSHH regulations.
Regulations.
The clothing should be comfortable and - as far as possible - should not impede the movement or
the ability of the wearer to see and hear. It should also be compatible with other PPE which may
need to be worn such as safety helmets and earmuffs.
Protective clothing commonly encountered includes the following:-

 Wet weather clothing: Is available in a range of materials and prices; selection should be
based on type of use and duration.
 Cold weather clothing: Many different styles and materials are available and some are
made of high visibility material.
o For extended periods of work in very cold environments, thermal garments: Both
underwear and outer garments, should also be considered.
 High visibility clothing: These are used when people are adjacent to moving traffic or
during an emergency situation where those in charge need to be identified to the emer-
gency services and others.
  Overalls: These will normally be made of poly-cotton and arrangements must be made
for regular cleaning. Single use disposable garments obviate this requirement.

Laboratory coats are not, strictly speaking, protective in nature against more than trivial spills of
materials. They are either made of nylon or treated cotton. They are commonly used in laborato-
ries to signify to both the worker and others that scientific work is in progress. On leaving the
working area, the garment should be left either in the laboratory or in a locker nearby and should
not be worn outside.
Laboratory coats worn in specialist areas such as microbiological laboratories and pathological
containment facilities are more typically based on the surgeon's gown and closed by Velcro ties.

4.3.65 Hand Protection.

Hazards to the hands can include:

 Thermal hazards (contact with very hot or cold objects).

 Mechanical hazards (the skin may be torn or cut by rough or sharp surfaces).
 Chemical hazards (substances containing strong acids, alkalis, solvents or irritants); and
 Vibration hazards (from using tools such as heavy drills).

The handling of small components will require that the glove must be highly flexible and give
good dexterity to the operator. Alternatively, a glove to give heat protection might place almost no
emphasis on these properties. A range of protective gloves are available to meet all these needs.
It is unlikely that any one glove will offer the complete answer to any particular problem with no
potential weakness. The factors outlined above must normally be placed in order of priority as the
final selection will almost certainly be a compromise. Of course, this may not present a problem.
Gloves should be the right size and fit comfortably, as too loose a fit will impede work while too
tight a fit may also prevent proper circulation. A selection of suitable gloves should be offered as
this will make it easier for each user to find a good fit. Loose fitting gloves should not be worn
when using machinery where there is a risk of entanglement. Gloves especially worn with inner
liners, which may impair sensitivity and grip strength, could result in other hazards being created.
Chemical contamination will eventually penetrate a glove and - depending on the hazard - the
glove should be changed regularly. Gloves highly resistant to one substance, e.g. an acid, may
give no protection against others such as solvents and mixing substances together may alter their
characteristics and make their effect on the glove difficult to predict.

4.3.66 Safety Footwear.

Foot injuries are not uncommon in some occupations and usually result from crushing caused by
heavy falling objects, or penetration of the foot due to standing on a sharp object.
The Personal Protective Equipment at Work Regulations 1992 govern the provision and use of
protective footwear.
The footwear should be robust enough and have sufficient grip for the working environment. It
should also be comfortable, flexible to reduce the risk of tiring the feet and legs, capable of ab-
sorbing perspiration and if necessary, waterproof.
The following types of safety footwear are commonly encountered:

 The safety boot or shoe: Is the most common type of safety footwear and has a steel
toecap. Some types have a protected mid-sole.
  Wellington boots: Are worn to protect against water and corrosive materials. They can
be obtained with resistance to corrosive materials, rot-proof insoles, ankle bone padding
and cotton lining. They range from ankle boots to chest high waders.
 Safety trainers: Have been introduced in recent years incorporating softer, more flexible
materials. They are fitted with protective toecaps and anti-slip soles. While their resistance
to sole penetration is usually less than that provided by the safety boot, they can be worn
for a variety of activities, provided the working area is free from materials likely to pene-
trate the wearer's foot.

4.3.67 Safety Harnesses and Belts.

The main reason for the use of safety belts and harnesses is to limit the distance of any fall and
thereby minimise the risk of injury. They provide valuable protection but they are not a substitute
for the use of proper safeguards such as guard rails.
Where practicable, proper working platforms with guard-rails and toe boards must be provided
before safety belts or harnesses are considered as an alternative or additional measure. Where
the provision of working platforms or the use of safety nets is impracticable, safety harnesses or
belts must be provided and used.
In choosing a belt or harness for a particular application, care should be taken to ensure that it
will give the user, as far as is compatible with safety, maximum comfort, freedom of movement
and in the event of a fall, every possible protection to the body from the shock of sudden arrest.
Proper fitting and adjustment are essential to achieve these aims.
It is vital that whenever a safety belt or harness is provided, there is also an effective means of
fixing it to the structure. It is also vital that the fixing point is strong enough to withstand the snatch
load of a fall.

Figure 1. Safety Harness.

4.3.68 Skin.

If protective clothing cannot be used and exposure to an irritant is unavoidable, then the use of
barrier creams may be of assistance. These should be applied to the skin before work, and can
be of a type that repels particular irritants.
The aim of the cream is to create a barrier which will limit contact between skin and irritant and
facilitate subsequent cleansing.
The choice of the correct cream is important, particularly if an individual has a history of skin ail-
ments, such as dermatitis or eczema, and the advice of a Medical Officer should be sought.
The cream should be washed off after each work session and applied afresh to provide continu-
ous protection. The skin should be clean and dry before the cream is applied. The availability of
barrier creams is not to be used as a reason for ignoring any other preventative or protective
measures.

4.3.69 Personal Protective Equipment Legislation.

Historically, legislation such as The Factories Act, 1961 (and Regulations made under it) speci-
fied the circumstances when particular types of personal protective equipment had to be worn.
For example, the Protection of Eyes Regulations 1974 laid down the work practices when protec-
tive spectacles or goggles had to be worn.
More recent Regulations, such as the Control of Substances Hazardous to Health Regula-
tions 2002, mention personal protective equipment in the context of control strategies to be used
when all other measures for controlling the hazard have been considered and found wanting.
Other legislation which specifies the use of personal protective equipment under certain
circumstances includes:

 The Control of Lead at Work Regulations, 2002.

 The Ionising Radiation Regulations, 1999.
 The Control of Asbestos Regulations, 2012.
 The Control of Noise at Work Regulations, 2005.
 The Construction (Head Protection) Regulations, 1989.

Most recently, the Personal Protective Equipment at Work Regulations 1992 specify the steps
that need to be gone through for the choosing, use and maintenance of personal protective
equipment.
The equipment mentioned in the Regulations above (1-5) are excluded from the PPE Regula-
tions, since the former are more specific in nature.
Over-arching all these Regulations are the Management of Health and Safety at Work Regula-
tions 1999 and the Health and Safety at Work etc. Act 1974.
Between them, this legislation requires a risk assessment to be carried out of the significant haz-
ards which the employer's work entails, and where appropriate, PPE should be considered.
Modern safety legislation requires PPE to be considered when other control measures have been
found to be inappropriate. If this is the case, then the PPE Regulations define the criteria whereby
the equipment can be chosen appropriately, used effectively and kept in efficient working order.
There is, in effect, a hierarchy of control measures and PPE should always be regarded as the
last resort to protect against risks to health and safety.
Engineering controls and safe systems of work should always be considered first.
There are a number of reasons for this approach:

 PPE protects only the person wearing it, whereas measures controlling the risk at source
can protect everyone in the workplace.
 Theoretical maximum levels of protection are seldom achieved with PPE in practice, and
the actual level of protection is difficult to assess. Effective protection is only achieved by
suitable PPE, correctly fitted and maintained and properly used.
 PPE may restrict the wearer to some extent by limiting mobility or visibility, or by requiring
additional weight to be carried. Other means of protection should therefore be used
 whenever reasonably practicable.

Regulation 4 of the PPE Regs requires PPE to be provided where risks have not been ade-
quately controlled by other means. Where risks are sufficiently low that they can be considered, in
effect, to be adequately controlled then PPE need not be provided. For example, there may be
some risk of people dropping objects on to their feet, but it is only when there is manual handling
of objects of significant weight that the risk may be such as to require the provision of safety foot-
wear.
Thus, PPE must be suitable to combat the actual risks involved and the conditions at the place of
work where the exposure to the risk may occur. PPE must also take account of any ergonomic
requirements and the state of health of those who may wear it. It must be capable of fitting the
wearer correctly and it must comply with the relevant British Standard or European Standard.
Certain legislation defines the circumstances where personal protective equipment must be used,
e.g. The Noise at Work Regulations and the Construction (Head Protection) Regulations.
As a general principle, however, legislation requires the employer to provide suitable per-
sonal protective equipment having:

 Assessed the risks to employees which cannot be adequately controlled at source;

 Identified the characteristics of the PPE required to protect against such risks;
 Satisfied themselves that the equipment provided matches the characteristics required;
 Reviewed the assessment should any element of it no longer prove valid or if any signifi-
cant change occurs in the work to which it relates.

This general guidance is true whether the assessment is made formally under the PPE Regula-
tions or informally under other relevant legislation.

4.3.70 Types of Personal Protective Equipment.

Please note that this section is intended to provide photographs of the PPE discussed above and
its application. You are not expected to recall the BSEN or EN reference numbers etc.
ELECTRONIC HEARING PROTECTION.
The latest in sound technology - hearing protectors which amplify weak sounds while attenuating
loud noises.
EAR MUFFS.
A traditional method of ear protection. Today's range of muffs cope with a very wide spectrum of
industrial hazards. It is important to study the attenuation characteristics of each model as they do
vary in performance across the range of sound frequency.
SEMI-AURALS.
Stored conveniently and unobtrusively around the neck when not in use, this is a good choice for
supervisors, managers and others, who move intermittently in and out of noise hazardous areas.
HELMET MOUNTED EAR MUFF.
Popular with safety officers, head and ear protection in one. Today's models are styled to be sen-
sibly 'parked' when not in use.
EAR MUFFS WITH A BUILT-IN RADIO.
Hearing protection with the ability to still enjoy the news, sport and music at work can make the
job less fatiguing.
COMMUNICATION HEAD SETS.
For people covering large areas within a noisy environment, ear muffs that incorporate communi-
cation systems.
PLUGS.
Can be worn conveniently with all other PPE items. Easy to use, with attenuation provided often
exceeding that of ear muffs. Whilst disposable, they provide excellent protection with long term
comfort.
FLEX AND CORDED PLUGS.
Flex versions are favoured for carrying around the neck when not in use. Most plugs are also
available in a corded version.
TRACERS.
One of several plugs giving specific benefits. In the case of Tracers they are metal-detectable and
have an easy-to-see blue vinyl cord, making them ideal for the food manufacturing industry.

Figure 1. Types of Hearing Protection.

Question 14.

Are ear defenders the best way of reducing the risk of hearing loss in a worker working in noisy
environment?
Multiple Choice (HP)
Answer 1: No
Response 1:
Jump 1: Next page
Answer 2: Yes
Response 2:
Jump 2: This page

4.3.71 Types of Eye Protection.

Eye Protection.
To help choose safety eye-wear best suited to the needs, the following information may be use-
ful.
Whilst every effort should be made to remove workplace hazards, if safety eye-wear is
necessary, the following selection criteria should be used:

 Type of hazard.
 Type of protection.
 Type of lens.

TYPE OF HAZARD.
Hazards fall into 4 main categories:

 Mechanical Flying Debris, Dust or Molten Metal.

 Chemical Fumes, Gases or Liquid Splash.
 Radiation Heat (Infra-red), Ultraviolet light or Glare.
  Laser Light Over a wide spectrum of wavelengths from Ultraviolet to Infra-red.

TYPE OF EYE PROTECTOR.

SAFETY FACESHIELD.
Protects the face as well as the eyes but does not keep out dust or gas. Comfortable to use for
long periods.
SAFETY GOGGLE.
Can provide protection for all types of hazards. May be worn over spectacles.
SAFETY SPECTACLES.
Comfortable and available in a variety of styles. Will not keep out dust, gas or molten metal. Mod-
els are available with prescription lenses.
SHADES OF LENS.
Various shades of lenses are available for specialised industries such as foundries, glass working
and welding. Different lens shades can also enhance vision for tasks such as inspection.
CARE AND MAINTENANCE.
Both employee and employer have a responsibility to keep all eye protection in good order.

figure 1. Safety Spectacles.

Figure 2. Face Guards.

Figure 3. Eye Goggles.

4.3.72 Types of Foot Protection.

THE RIGHT FOOTWEAR FOR THE JOB.

A comprehensive range of both safety and non-safety footwear designed for use in the majority of
industries is available. It is important that the correct industrial footwear is chosen for the specific
working environment. It is recommended that in the first instance, a risk assessment is carried out
to ensure that the correct protection level and style of footwear is selected.
Risk Assessment.
Assess the risks within the working environment to either remove or protect against the hazards.
This must involve defining the job or work area, recognising the risks, and identifying the correct
method of reducing them i.e. by removing, controlling, or by choosing suitable safety footwear.
Protective features include:

 Impact resistant toe caps.

 Penetration-resistant steel mid-soles.
 Anti-static properties.
 Sole resistance to heat.
 Resistance to cold.
 Water resistance.
 Resistance to fuel oil.
 Resistance to chemicals.

Slip resistant sole properties.

As with all footwear, it is important that they are cleaned and maintained on a regular basis, to
ensure that the properties used at point of manufacture remain functional throughout the life of
the footwear.

Figure 1. Types of footwear.

4.3.73 Types of Hand Protection.

THE RIGHT GLOVE FOR THE JOB.

Hands at work are extremely vulnerable to a wide range of hazards which include:
  Automotive (Oil/Grease).
 Dirt/Sand Handling.
 Gardening/Pruning.
 Painting.
 Cardboard/Box Handling.
 Glass Handling.
 Carpentry.
 Roofing.
 Chemical Handling.
 Cleaning.
 Stone/Rock Handling.
 Masonry/Bricklaying.
 Cold Weather Protection.
 Welding.
 Construction (General, Hand Tools).
 Wet Applications.
 Parts Handling.

With industry's increasingly complex and sensitive manufacturing and handling processes, there
is a growing insistence on the use of job-fitted gloves that meet each of the user's specific re-
quirements.
A small selection of different kinds of gloves are pictured below:-

Figure 1. Types of hand protection.

Leather PVC Natural Rubber Nitrile Rubber Cotton/Latex Rubber Latex.
MAINTENANCE.
Contaminated and worn gloves may fail to protect the hands from the very hazard for which they
were designed. Effective protection is maintained by regular replacement of the gloves. The
gloves should be checked inside and out.

4.3.74 Types of High Visibility Garments.

The requirements and the facts.

Being struck by a moving vehicle is the second most common cause of death in the workplace
today and accounted for 17% of all fatal injuries in 2002/3. It is essential that any high visibility
garments issued to employees conform to all relevant performance standards and are worn and
maintained correctly for maximum protection.

Figure 1. Typical Class 3 Jacket.

Figure 2. Typical Class 2 Waistcoats.

4.3.75 Respiratory Hazards & Protection.

RESPIRATORY HAZARDS.

 Dusts: Produced when solid materials are broken down into finer particles. The longer the
dust remains in the air, the easier it is to inhale.
 Mists: Tiny liquid droplets formed by atomisation and condensation processes such as
spraying. Mists are often combinations of several hazardous ingredients.
 Metal Fumes: Occur when metals are vaporised under high heat. The vapour is cooled
quickly and condenses into very fine particles that float in the air.
 Gases: Airborne at room temperature. Able to diffuse or spread freely, they can travel very
far, very quickly.
 Vapours: Gaseous state of substances that are liquids or solids at room temperature.
Formed when substances evaporate in the way water vapour evaporates from water.

RESPIRATORY TERMINOLOGY.
FIT TESTING OF RPE FACEPIECES.
From November 2002, the CoSHH Regulations and associated ACoP required employers of
wearers of tight fitting face-pieces to conduct a fit test to check the adequacy of the fit to the
wearer.
Tight fitting face-pieces include disposable particulate respirators, half & full face masks with fil-
ters. A fit test should also be conducted on powered and airfed respirators. If a full face-piece is
being used, the HSE recommend a Quantitative Fit Test be conducted. This is usually carried out
by a suitably-qualified outside agency.
If any other device is used, e.g. Filtering face-pieces FFP1, FFP2, FFP3 or half facemask respira-
tors fitted with a particulate or combined filter, it is recommended that only a Qualitative test be
used, and this can normally be carried out "in house".
Workplace Exposure Limits (WEL).
To comply with CoSHH, exposure should be reduced as far below the WEL as is reasonably
practicable and should not exceed the WEL when averaged over the specified reference period.
OEL Reference Periods.
There are two reference periods for which WELs may be set; 8 hour Time Weighted Average
(TWA) and 15 minute Short Term Exposure Limit (STEL). A substance may be assigned WELs at
either one or both reference periods.

 8 hour TWA: Some adverse health effects can occur after prolonged or accumulated ex-
posure. The 8 hour TWA is set to restrict the total intake by inhalation over one or more
shifts.
 15 minute STEL: Some adverse health effects may be seen after short exposures. 15
 minute STEL may be applied to control these effects. For a substance assigned a 15 min-
ute STEL MEL, this level of exposure should never be exceeded.

Immediately Dangerous to Life or Health (IDLH).

The IDLH concentration of a substance is defined as "posing a threat of exposure to airborne
contaminants when that exposure is likely to cause death or immediate or delayed permanent
adverse health effects or prevent escape from such an environment".
The IDLS value represents a maximum concentration from which a worker would escape within
30 minutes without any impairing symptoms or irreversible health effects.
Odour Threshold.
The concentration of a substance at which the majority of individuals can smell or taste it.

4.3.76 Protection Factors.

The updated British Standard BS4275 Guide to implementing an effective respiratory device
programme incorporates the latest information available on respiratory usage and is regarded by
the Health and Safety Executive (HSE) as illustrating the current best practice in this area.
When matching the performance of Respiratory Protection to the measured Respiratory Haz-
ard Level, the Assigned Protection Factor should now be used in the calculation, in place of
the Nominal Protection Factor.
Nominal Protection Factor (NPF): Derived for the performance categories of the European
Standards to which all respirators are tested.
Assigned Protection Factor (APF): Based on workplace protection factor studies and listed in
BS4275. The figure is used for selection calculations.
Generally, it is only after a full RPE programme has been implemented that the APF is likely to be
achieved by the majority of users in the workplace.
WORKPLACE EXPOSURE LIMITS (WEL).
The measured airborne concentration of a respiratory hazard is established by workplace moni-
toring. The value has to be compared to a reference figure to determine whether actions are re-
quired to reduce exposure. The reference figure is usually the relevant Workplace Exposure
Limit.
If the respiratory hazard is above the WEL, control measures must be introduced to reduce this,
as far as reasonably practicable, below this figure.
For example:

 If products containing the solvent Toluene were in use, the exposure to Toluene vapour
would need to be established by monitoring.
 Toluene is listed in EH 40 with an Workplace Exposure Limit of 50ppm (parts per million).
 If the measured level at the workplace were to be above 50ppm, control measure would
need to be used to adequately reduce the exposure to Toluene vapour.
 The control measures could include improving general ventilation, extraction systems and
respiratory protective equipment.

RPE SELECTION CALCULATION.

Air monitoring is required to measure the respiratory hazard level in the workplace. The hazard
level is then compared to the Workplace Exposure Limit to determine the required respirator per-
formance.
EUROPEAN STANDARDS.
Respirators are tested to the relevant European Standards and CE marked. All respirators carry
the CE mark plus the European Standard and performance category markings.

4.3.77 Types of Personal Protective Equipment.

Each type of RPE has specific limitations which dictate the types of application for which it may
be used. RPE is tested to relevant European Standards which determines the product perform-
ance.
HEAD PROTECTION.
IDENTIFYING HAZARDS.
A safety helmet is required in almost every industry where there is a risk of being injured by falling
objects.
In areas of restricted head space where accidental bumping of the head could be involved (e.g.
overhead piping) a scalp protector (bump cap) should be considered. Bump caps are not a sub-
stitute for safety helmets and must not be used to protect the head from falling objects.
EUROPEAN STANDARDS EN 397 specifies physical and performance requirements of indus-
trial safety helmets. Certain tests are mandatory if the product is to receive EN 397 approval.
These cover:

 Shock absorption.
 Resistance to penetration.
 Flame resistance.
 Chinstrap anchorage.

SHELF LIFE.
To comply with European Standards, all helmets are marked with the quarter or month and year
of manufacture. If helmets are stored in boxes in which they were supplied and do not experience
environmental extremes, the shelf life of a helmet is not limited. However, it is not recommended
that a helmet should be in use five years after the date of manufacture.
ACCESSORIES.
Some helmets have sweatbands/chinstrap or both already fitted. Either can be purchased sepa-
rately. Safety helmets can be fitted with eye protection through a range of visors or hearing pro-
tection through clip on ear defenders.
CARE AND MAINTENANCE.
A helmet may be cleaned with soap and water, drying with a soft cloth. It should not be cleaned
with abrasive substances or solvents and must not be stored in direct sunlight or in contact with
chemicals.
The wearer should inspect a helmet regularly. Any helmet showing more than superficial abra-
sions or scuffing to the shell should be replaced.

Figure 1. Respiratory Protective Equipment Hierarchy.

Figure 2.
Figure 3.

4.3.78 Hierarchy: Technical, procedural and behavioural.

It is the case that, in any given set of circumstances, some risk control measures will be better
than others and it is obviously preferable to use the best option. However, there are a number of
different criteria which can be used to define 'best', including the following:

 The extent to which the continuing effectiveness of the risk control measure relies
on human behaviour.
o In general, it is preferable to have risk control measures which, apart from any
necessary maintenance, operate without human intervention. When a risk control
measure relies on the actions of people, it is inevitable that, on some occasions,
the risk control measure will not be used, either deliberately or inadvertently.

 The extent to which the risk control measure requires testing, maintenance, clean-
ing, replacement, etc.
o All of these required activities rely on human intervention and can, therefore, fail.
This reduces the likelihood that the risk control measure will continue to be effec-
tive.

This hierarchy has three categories as follows:

 Technical risk control measures: Including machinery guarding, various forms of fenc-
ing, and the different types of ventilation. In general, these types of risk control measure
can be designed and installed so that they have the minimum reliance on people doing
what they are supposed to do.

 Procedural risk control measures: Including systems of work and the maintenance of
plant, equipment, etc. in a safe condition. Where the procedures are well-designed and
their implementation effectively monitored, these risk control measures can be successful
but they do rely on, for example, people keeping to work procedures and remembering to
carry out the necessary maintenance work.

 Behavioural risk control measures: Including information and training. These risk con-
trol measures rely for their effectiveness on a number of things, including the appropriate-
ness of the information or training, the extent to which it is understood, and the extent to
which this understanding is put into practice. As a category, therefore, it is the one which
is most prone to failure as a result of people not doing what they are supposed to do.

4.4 Sources of health and safety information.

Health and safety information can be sourced both internally and externally.

4.4.1 Internal sources of information.

Internal sources of information can be found from:

 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.
 Maintenance records.

4.4.2 External sources of information.

External sources of information include:

 Manufacturers data.
 Legislation such as Acts and Regulations.
 European Safety Agency.
 HSE Publications.
 Trade Associations.
 British, European and International Standards.
 ILO and other Authorative Sources.
 Professional bodies such as IOSH.
 IT Sources such as from the world wide web.

4.5 Safe systems of work.

An analysis of a task or process which considers the hazards likely to be present and details the
precautions necessary to avoid or minimise the risk to the health and safety of individuals.
This paper examines the requirement for employers to provide Safe Systems of Work, how the
requirement has been established in law and the fundamental elements of the process.
Legal Aspects.
Section 2.(2)(a) of HASWA contains the requirement for the employer to ensure the provision
and maintenance of plant and systems of work that are, so far as is reasonably practicable; safe
and without risks to health.
However, the specific circumstances in which an employer must provide a safe system of work
have not been clearly defined and may be subject to an interpretation of the law. The HSE pro-
vide useful guidance in Safe Systems of Work IMD(G) 76L.
As an example of a safe system, an incident at a charity shop is illustrative. In the charity shop,
many black plastic bin liners, stuffed full of unwanted goods and items of clothing, would arrive on
a daily basis. The bags would arrive in various circumstances; some would be left on the door
step of the shop overnight. In this example, the shop, based in London, would receive up to 100
such bags and boxes daily. The shop had a collection service and also collected bags from other
shops in the area, providing a sorting and cleaning service for them.
This particular incident did not cause actual harm; it was a near-miss, however. The reactive risk
assessment indicated a high risk activity. The bags would be collected, stored in a holding area,
passed down a chute to the sorting room and then torn open on a table.
On this occasion, a bag was opened and amongst the clothing was a jacket. The sorter did what
she always did, searched through the pockets of the jacket, prior to passing it to the holding area
for cleaning or ironing. On this occasion, a suspected used hypodermic needle was found in the
inside pocket. A thorough risk assessment of the shop's activities was undertaken. Whilst this
was the first hypodermic needle to be found, it was not the first sharp incident.
It was not uncommon for bags of household rubbish, kitchen waste etc to be found in the
donated goods.
A safe system of work was devised. Bags, boxes and other containers of donated goods would
be checked on arrival. This would be undertaken prior to sorting and in an area at the delivery
level, prior to sending down the chute. Staff and Volunteers would wear hand protection; any con-
tainer containing anything suspicious or harmful would be placed in a large lockable skip, ready
for local council safe disposal. Only when the initial inspection was carried out would the goods
and clothing be passed for sorting. Opening the bags was one step.
Risk assessments had to be undertaken concerning other aspects of this particular opera-
tion:

 Manual handling/ergonomics problems.

Disposal/recycling of the empty bags, boxes etc, and so on.

The ultimate requirement is to provide a safe system of work by consideration of the activity, the
hazards and controls, the equipment and materials, the competence of the workers and so on.
In all but the most basic activities, it is essential to make a written record of the system of work -
this will help in many ways, not least training new workers.

4.5.1 Safe systems of work continued.

When is a Safe System of Work needed?

Many hazards are easily identified and can be removed or controlled by separation from people
e.g. fit machine guards.
When such action cannot be taken and an element of risk remains, the following principles
should be applied for special cases and routine jobs:

 Cleaning and maintenance.

 Change layouts, materials or methods.
 Pay attention to employees working away or alone.
 Deal with breakdowns/emergencies promptly.
 Movement, loading and unloading of vehicles.

The 5 Steps to a Safe System of Work to prevent injury to employees and others are identi-
fied here:

 1. Assessing the task.

o All aspects of the task (e.g. manual handling, working on ladders) and the
risk it presents to health and safety should be considered:
 What is used e.g. plant, substances, machinery/toxic/electrical hazards,
design limits and inadvertent operation.
 Who does what e.g. allocation, delegation, training, error, short cuts and
emergencies.
 Where is the task carried out e.g. workplace hazards, from adjacent proc-
esses/contractors and severe weather.
 How the task is done e.g. procedures, potential failure in method and lack
 of foresight.

 2. Identifying the Hazards.

o After the assessment of the job task, hazards must be identified and the risk as-
sessed. Ideally, hazards and risks should be removed/controlled before reliance on
a safe system of work.

 3. Defining Safe Methods.

o This may be done informally (orally) by a simple written procedure or in excep-
tional circumstances by a formal permit (e.g. hot work permit).
Consider the following steps:
 Plan before the job starts.
 Clear planning and job sequence.
 Specify safe work methods.
 Where relevant include ingress and egress.
 Consider dismantling/disposal at the end.

4.5.2 Safe systems of work continued.

4. Implementing the System.

The need for effective communication is paramount and must be understood and applied by em-
ployees; do they understand the commitment to safety through safe systems?

 Supervisors and managers must be trained in the skills and application of safe systems.
 Short cuts must be avoided and - where necessary - the job should stop whilst safe solu-
tions are found.

5. Monitoring the System.

Performance monitoring includes periodic checking of the following:

 Do employees find the system workable?

 Are laid-down procedures effective and followed?
 Do changed circumstances require the system to be reviewed?

The HSE have studied fatal accidents and in their report Deadly Maintenance have identified mul-
tiple causation factors but the absence of a safe system of work was singled out as a prominent
cause.
There are five main conclusions:

 1. Safe working should be planned and not left to chance.

 2. Personnel must be instructed, informed and trained.
 3. Suitable safety equipment should be provided.
 4. Management organisation should address such activities.
 5. Adequate resources should be allocated to the function.

Hazards in Maintenance.
During maintenance or refurbishment, new hazards may appear and everyone must be alert to
this and the need to introduce relevant precautions.
A written permit to work system must be used for:

 Entry into vessels, confined spaces or machines.

  Hot work procedures.
 Construction work.
 Employment of contractors.
 Cutting pipelines carrying hazardous substances.
 Mechanical or electrical work requiring isolation of power/fuel supplies.
 Working in excavations or on roofs.

In addition to the above, special precautions may be necessary for high risks such as the testing
for dangerous fumes in silos, locking off electrical isolations before working inside machines and
the purging of vessels before entry.
To consolidate this, two further examples of safe systems of work are offered.

4.5.3 Examples of Safe systems of work.

Manual Handling.
Injuries and accidents resulting from manual handling account for one third of all reportable acci-
dents and in industries where physical exertion is common e.g. civil engineering over 50% of ac-
cidents arise from manual handling injuries.
'The Manual Handling Operation Regs: (1992)' require all employers to consider such risks
and employees should:

 Avoid the need for MHO (so far as is reasonably practicable).

 Assess the risks from MHO (where it cannot be avoided).
 Reduce the risk of injury from MHO (so far as is reasonably practicable).
 The regulations also state that employees should:
o Follow appropriate systems of work.
o Make proper use of equipment provided.
o Co-operate with their employer.
o Alternatives handling methods such as mechanical aids should be considered and
appropriate training given. On all occasions the first option is to avoid the need and
ask the, 'is the job necessary?' question.

Hot Work Procedures.

There are many examples of costly, serious and fatal fires caused by the failure to control hot
work e.g. White Rose Centre, Newcastle Railway Station and Dsseldorf Airport .
Where hot work is carried out during a building or refurbishment process this would be captured
by the Construction Design and Management (CDM) Regs.
In the world of refurbishment the use of contractors and their subcontractors, is commonplace
and this brings a further challenge in the safety management process.
Hot work is any process associated with the use of a naked flame, generation of heat and/or
sparks with the potential to start a fire.
Whenever hot work is proposed the first action should be to consider alternatives in order to re-
move or control the risk of fire.
This is followed by:

 Pre-work survey.
 Risk assessment.

Determine whether to use a defined safe system of work or issue a hot work permit.
Whatever approach is chosen the method is the same but the hot work permit imposes
greater control, and elements of safety which must be addressed include:

 Define scope and duration of work.

 Specify method(s) to be used.
 Nominate supervisory arrangements, normally two persons one of whom is a competent
person i.e. trained in hot work procedures.
 Specify before, during and after work inspection arrangements.
 Provide appropriate firefighting equipment.
 Consider effect of hot work and other fire systems e.g. sprinklers and AFD, and consider
pros and cons of isolation such systems.
 Arrange briefing on means of escape and emergency procedure.

4.5.4 Confined Spaces.

Introduction.
A confined space is a place which is substantially enclosed (though not always entirely), and
where serious injury can occur from hazardous substances or conditions within the space or
nearby (e.g. lack of oxygen).
A number of people are killed or seriously injured in the UK each year in confined spaces. These
occur across a wide range of industries, from those involving complex plant to simple storage
vessels. Those killed include not only people working in the confined spaces but also those who
try to rescue them without proper training or equipment.
Most serious injuries and deaths in confined spaces occur because persons are unaware that
they are working within what is defined as a confined space and that working in such spaces sig-
nificantly heightens the risks to personal health and safety.
Or, often it is unknown that there is a problem within the space (e.g. hazardous atmosphere,
heart attack) and when discovered it is too late to effect an evacuation of the worker in time to
save his/her life.
Consequently, an additional specific risk assessment requires to be undertaken in cases of con-
fined space working and special control measures put in place.
Working in confined spaces is a hazardous task, with an average of 15 deaths per year in such
situations. Some of these deaths have occurred in areas that one may not normally think of as
confined spaces (e.g. sewers), but have occurred in areas that would normally be thought of as
safe (e.g. a room), a combination of the work being carried out and the confines of the room ren-
dering it a confined space.
Also, the victims have not all been members of a work section that one may normally associate
with confined space (i.e. trades persons) but have included persons on field trips and technical
workers.
Figure 1. Confined Space.

4.5.5 Confined Space Accidents.

Examples of Confined Space Accidents:

 Four employees working in a duct were killed when a highly explosive gas leaked from a
faulty valve into the space in which they were working. Neither they nor the supervisor
outside the space knew of this. Only the fire and explosion warned the supervisor that
there was a problem and by this time, it was too late to warn the workers.

 A flooring contractor was found semi-comatose in an unventilated room where he had

been working laying vinyl flooring and using a solvent-based adhesive. He had become so
used to the odour of the solvent that he was no longer aware of it; consequently, he did
not notice the build up in vapour concentration until the narcotic effects rendered him un-
able to make an exit from the room.

 An employee was killed when he entered a liquid nitrogen storage room where a valve
had been leaking for some time. The nitrogen gas had depleted the oxygen within the
small room and he was rendered almost instantly unconscious, death following soon af-
terwards. A colleague who found him and tried to effect a rescue also suffered from the ef-
fects of oxygen depletion and was lucky not to suffer the same fate.

 The Australian Health Authority issued a warning about working in poorly ventilated work-
places, following a recent incident in which seven men suffering from carbon monoxide
poisoning were hospitalised. The casual workers had been re-packing pallets, when they
all started feeling sick. Investigations revealed the cause to be carbon monoxide emitted
from an LPG forklift which had not been tuned properly.

4.5.6 What is a confined space?

The definition of a "confined space" in the Confined Spaces Regulations 1997 is very wide and
includes any place such as trenches, chambers, silos, pits, sewers, wells, or any other similar
spaces which because of their nature could give rise to a "specified risk".
There are two features that define a confined space:

 First, it is a space that is substantially (though not necessarily entirely) closed.

 Second, there is a foreseeable risk to health or safety from hazardous substances or con-
ditions within the space or nearby.

4.5.7 Confined Spaces - Specific Risk.

What is a Specified Risk?

"Specified risk" means a risk of injury from:

 Fire or explosion;
 Loss of consciousness arising from increased body temperature;
 Loss of consciousness or asphyxiation arising from gas, fume, vapour or the lack of oxy-
gen;
 Drowning;
 Asphyxiation arising from a free flowing solid; or
 Entrapment by a free flowing solid.

The hazards of confined spaces arise because of the confined nature of the workplace and the
presence of conditions or substances which, when taken together, increase risk to health and
safety.
Some confined spaces are easy to identify e.g. closed tanks or sewers; others are less obvious
but just as dangerous e.g. open-topped tanks, closed and unventilated or inadequately ventilated
rooms, silos, or constructions that may become confined spaces during their construction.
Also, some places will fall into the definition of a confined space only occasionally, perhaps due
to the type of work being undertaken e.g. a room during spray painting or where solvent-based
glues are being used, or roof spaces or cellars where hot work using naked flames is undertaken.
It should be remembered that a hazard can be introduced to a space that otherwise would be
safe.
Responsibility :

 The employer has primary responsibility for compliance with the substantive requirements
of the Regulations.

As an aid, we have included here a simple management check list when considering entry to a
confined space.

 Have you identified all the work involving confined spaces?

 Are you satisfied that entry to confined spaces is effectively precluded unless entry is un-
avoidable for the purposes of duly authorised work?
 Has a permit to work been implemented?
 Have risk assessments for work involving confined spaces been undertaken, and are they
suitable?
 Are the control measures for the work appropriate, suitable and sufficient?
 Are those involved in the proposed work trained to a level appropriate to their responsibili-
ties?
 Has an appropriate emergency plan been prepared for each entry into a confined space,
 and communicated to all those involved?

It is the responsibility of each member of staff who plans, organises or otherwise leads
maintenance work which could involve entry into or work within confined spaces to:

 Prevent such entry wherever this is reasonably practicable;

 Ensure, where entry into a confined space cannot be avoided, that all the relevant re-
quirements of the law are adhered to;
 Prepare a risk assessment for the proposed work;
 Ensure that a suitable safe system of work has been devised;
 Ensure that those involved are suitably trained and supervised;
 Ensure that there are appropriate emergency procedures in place;
 Comply with departmental requirements on the technical and managerial monitoring of
such activities, and provide such information as may be requested on the nature and safe
management of such activities.

It is the responsibility of individual members of staff whose work requires them to enter
into or work in a confined space to:

 Adhere rigorously to the requirements of any work permit issued to them, or any verbal in-
struction from a supervisor or manager, about entry into or work within any confined
space;
 Use any personal protective or work equipment issued to them in a proper manner (and
report any defects in such equipment), and take all reasonable steps to ensure the health
and safety of themselves and others when entering or working in a confined space.

The Confined Spaces Regulations 1997 place substantial duties on employers to prevent or
safely control entry into, or work within, confined spaces. In law, both the confining nature of the
space and the foreseeable risk of injury from a specified risk define a confined space.
Having identified where such situations could occur, it is vital to prevent unnecessary entry into
confined spaces: if the desired result can be achieved without entry, then this must be what hap-
pens.
If entry is unavoidable, then risks to those entering must be rigorously guarded against by a com-
bination of technical and managerial procedures, up to and including a full formal Permit to Work
system. The strategy for the control of risks must be the result of a risk assessment.

Figure 1.

4.5.8 Confined Spaces Risk Assessment.

Risk Assessment :

 The Management of Health and Safety at Work Regulations 1999.

 The Management of Health and Safety at Work Regulations 1999 apply equally across all
industries and all work activities.

The main duty requires all employers and self-employed persons to carry out a suitable and suffi-
cient assessment of all risks to workers and any others who might be affected by their work activi-
ties (insignificant risks can be ignored).
This is for the purpose of identifying the measures they need to take to comply with the require-
ments and prohibitions imposed by or under relevant statutory provisions.
In essence, this is a requirement to - wherever possible - remove the risk entirely, or where this is
not practicable reduce and control the risk to the lowest level that is reasonably practicable.
The Confined Spaces Regulations 1997.
The Confined Spaces Regulations require that when carrying out a risk assessment, priority is
given to identifying the measures that require to be taken so that work in confined spaces can be
avoided.
If it is not reasonably practicable to prevent work in a confined space, the employer or person in
control of the work will need to assess the risk connected with entering or working in the space.
This will include identifying the risks to those entering or working there, and also any others, for
example, other workers, including contractors, and the general public in the vicinity who could be
affected by the work to undertaken.
This assessment should lead to a safe system of work being put in place, which should lay out
how the work is to be carried out in a safe manner, ensuring that all the risks are controlled to the
lowest level reasonably practicable, and that emergency procedures have been thought about
and put in place.
Assessment upon which a safe system of work is to be based must be carried out by those com-
petent to do so.
Competent Person.
A competent person is someone with sufficient experience of, and familiarity with, the relevant
processes, plant and equipment so that they understand the risks involved and can devise the
necessary precautions to meet the requirements of the regulations.
In complex cases, more than one person may be needed to conduct an assessment of risks, es-
pecially if specific areas of risk require specialist expertise.
In cases where a number of confined spaces (e.g. sewers or manholes) are roughly the same in
terms of conditions and the activities being carried out, and if the risks and measures required to
deal with them are likewise roughly the same, it maybe possible to devise a Generic Risk As-
sessment covering them all.
However, any differences in particular cases that would alter the conclusions of a Generic Risk
Assessment must be identified.
Failure to include relevant information within the risk assessment could lead to inadequate pre-
cautions being applied in the subsequent safe system of work.

Question 15.

A competent person is considered to be a person who

Multiple Choice (HP)
Answer 1: all of these
Response 1:
Jump 1: Next page
Answer 2: is trained or qualified
Response 2:
Jump 2: This page
Answer 3: is aware of the risks
Response 3:
Jump 3: This page
Answer 4: knows their own limitations
Response 4:
Jump 4: This page

4.5.9 Confined Spaces Likely Hazards.

The following list highlights many of the hazards that are likely to be encountered in a confined
space. It should be remembered that this list is not exhaustive.

 The confines of the space itself, preventing ease of egress (or exit).
 Flammable substances from the contents of the space, leaks from services running
through the confined space or a nearby area.
Oxygen enrichment, e.g. from leaking welding cylinders.
 Ignition of contaminants in the air.
 Sludge or fumes remaining in the space from previous processes or contents; when dis-
turbed, these may release toxic or flammable substances.
 Oxygen deficiency from inert gas purging, biological processes such as rusting, decompo-
sition or fermentation, processes such as welding or workers breathing within the space.
 Liquids or solid materials which can flow, entering the space from elsewhere; this may
cause drowning or entrapment.
 Heat exhaustion, caused by working in the confined space or from nearby hot processes.

Factors to be assessed: The general situation and condition of the confined space: the risks
that may be present can cause a problem e.g. abnormal oxygen concentration.
The previous contents of the space: Fire and explosions have been caused by ignition of sub-
stance thought to have been removed some considerable time before.
Residues: Dangerous gas, fumes or vapour can be released when scale, sludge or animal slurry
is disturbed. Where residues are present, safe working practices should assume that disturbance
of such residue will release gas, fumes or vapour.
Contamination: May arise from adjacent plant, gas mains, processes or surrounding land, soil or
strata. Gases and liquids can leak into the confined spaces from adjacent plant, installations,
processes or landfill sites. There is a particular risk of contamination if confined spaces are below
ground because they can be contaminated by substances from installations many metres away.
Oxygen deficiency and oxygen enrichment: If the concentration of oxygen in the atmosphere
varies significantly from normal (20.8%) there are substantial risks. e.g. oxygen enrichment will
increase flammability of clothing and other combustibles. Conversely, a small reduction in the
oxygen percentage can lead to impaired mental ability. Effects are very rapid and generally there
is no warning to alert the senses. This can happen in circumstances where only a person's head
is inside the confined space. Very low oxygen concentrations (below 16%) can lead to uncon-
sciousness and death.
Physical dimensions: Air quality can differ if the space contains remote or low-lying compart-
ments, and dimensions of the space may place constraints on egress, access and rescue.
Work process: The work itself may produce the hazard. Alternatively, conditions may become
hazardous when work is carried out in conjunction with residues etc. Work being done outside the
confined space could also generate hazard conditions within (e.g. external welding).
Hazards may be introduced into a space that may be otherwise safe; chemicals used for cleaning
purposes may affect the atmosphere directly or they may interact with residual substances pre-
sent.
Welding or cutting could act as a source of ignition of flammable gases, vapours, dusts, plastics
and other materials which may burn thus leading to a fire or explosion. Tools and equipment in-
cluding lighting may need to be intrinsically safe or specially protected.
Ingress of substances: Substances such as liquids, gases, steam, water, free flowing solids,
etc. may enter into the confined space from nearby processes, services or inadvertently operated
machinery. Wherever possible, power should be disconnected to such equipment and measures
taken to ensure it cannot be reconnected until it is safe to do so (lockout). Care should be taken
not to isolate vital services such as sprinkler systems or communications. Measures may also
need to be taken to prevent substances normally held in the confined space from being automati-
cally delivered.
Rescue procedures: Possible emergencies should be anticipated and appropriate rescue ar-
rangements made. The likely risks, and therefore the equipment and measures needed for a res-
cue by nearby employees need to be identified; this would include communications, PPE and ap-
propriate training.

4.5.10 Confined Space Safe Systems of Work.

The assessment process should lead on to the designing of a safe system of work, which may
form the basis of a Permit to Work system; this will depend on the risk assessment.
The Regulations require that no person shall enter, work in, or leave a confined space (other than
in an emergency situation) unless there is a safe system of work in place that renders the work
safe and without risks to health.
Factors that require consideration when designing a safe system of work may include:

 Adequate levels of supervision, including the possible need to appoint a competent per-
son to supervise the work.
 Suitability and competence of the workers, including experience, training, physical health
and mental attributes.
 Adequate communication arrangements, to summon help in an emergency, or to allow
those inside the space to communicate both with each other and those outside.
 Testing of the atmosphere within the space, including the choice of test equipment, the
type of contaminates and level of oxygen.
 Whether purging of the space with air or inert gas would be required, and the method and
amount of ventilation that maybe required.
 Whether cleaning the space or removal of residues is necessary and how this is to be
done.
 Whether gases, liquids, free flowing solids and mechanical and electrical equipment can
be isolated and the way that this is to be achieved.
 Selection and use of suitable equipment for working or rescue within the space, including
lighting and Personal or Respiratory Protective Equipment. In cases where heat or humid-
ity levels are high and PPE or RRE is being worn, it may be required to limit working time.
  Whether machinery fuelled by petrol, diesel or gas can be excluded from the space.
 Prevention of static electricity build up including earthing and bonding, and control proce-
dures for hoses and pipelines.
 Arrangements for access, egress, emergency situations and emergency rescue.
 Material storage, fire prevention arrangements inside and outside the space.

4.5.11 Prohibition of Entry to Confined Spaces.

Prohibition of Entry.
The Regulations prohibit entry into a confined space unless suitable rescue arrangements have
previously been put in place.
Such arrangements should include the provision of resuscitation equipment where conditions re-
quire it and must reduce the risks to those involved to the lowest level reasonably practicable.
It is a requirement that where any emergency situation arises, the rescue arrangements are im-
plemented immediately.
The Regulations also place a duty on employers, or those in charge of the work, to prevent em-
ployees or others who are in any extent within the employer's control (e.g. contractors) from en-
tering or working within a confined space, where it is reasonably practicable to undertake the
work without entering the space.
Any entry into a confined space should be subject to risk assessment and a safe system of work.
Where an area is identified as a confined space, and such space will always remain a confined
space because of an inherent property of that space e.g. size, content etc. (confines of space x
specified risk), such space should be signed as a confined space, locked off, and subject to a
permit to work system.
Rescue:

 Precise rescue arrangements will, of course depend on the risks identified. Assessment of
such rescue arrangements should include general accidents such as incapacitation after
falls, medical incidents such as heart attacks, as well as those resulting specifically from
work in a confined space.
 Equipment provided as part of the arrangements of rescue should be suitable for the risks.
Where there is time to react to an anticipated emergency, this could include self-rescue
equipment e.g. lifelines, lifting equipment, first aid equipment and breathing apparatus.
 Complex work may require the warning of the emergency services and the provision to
them of information before commencing work. Whether emergency services are notified in
advance or not, there should be a clear procedure in place to ensure that they can be
alerted rapidly in the event of an accident or incident.

Training:

 Workers who are to work in confined spaces should be both physically and mentally ca-
pable of doing so. In addition to method training in how to carry out the work efficiently,
training should also be given in the following areas;
 Safe systems of work.
 Hazard awareness.
 Risk reduction methods.
 Likely causes of an emergency.
 Use of equipment, including test and function tests, malfunctions or defects and mainte-
nance.
 Emergency procedures, including methods of raising the alarm, contact and liaison with
the emergency services.
 Methods of shutting down adjacent plants.
  Operation of fire fighting equipment.

Summary.
The precautions required in a safe system of work will depend on both the nature of the confined
space and the risk assessment. The risks involved and the precautions needed for cleaning car
interiors with solvents are relatively straightforward compared with those involved with welding
work inside plant or work in sewers.

Figure 1.

figure 2.

Question 16.

Which employees would be at risk when entry to a confined space is required?

Multiple Choice (HP)
Answer 1: All of these
Response 1:
Jump 1: Next page
Answer 2: The engineer
Response 2:
Jump 2: This page
Answer 3: The Health & Safety Supervisor
Response 3:
Jump 3: This page
Answer 4: The Rescue Team
Response 4:
Jump 4: This page

4.5.12 Lone working.

You are required to consider and have a general understanding of lone working and the risks that
may be identified during a risk assessment and in safe systems of work.
Introduction.
It is inevitable that at certain times, staff and others will find themselves working alone. These oc-
casions can occur, for example, at the beginning and end of flexible working periods, during holi-
days and during the night and at weekends.
There is no overall legal prohibition on working alone, but the general duties of the Health &
Safety at Work Act and the specific duties of the Management of Health and Safety at Work
Regulations still apply. These require the identification of the hazards of the work, assessment of
any significant risks involved, and devising and implementing safe working arrangements to en-
sure that the risks are either eliminated or adequately controlled.
Examples of working alone may include persons working alone in offices carrying out typical of-
fice activities outside normal working hours, cleaners, security and delivery drivers etc.
This unit lays down guidelines for employers to assess which tasks may be undertaken by a lone
worker and which may not.
What is a Lone Worker?
Persons are considered to be working alone if they have neither visual nor audible communica-
tion with someone who can summon assistance in the event of an accident or illness.
When are special arrangements required?
Where a person has to, or chooses to, work alone, it is the responsibility of the employer to en-
sure that a risk assessment is carried out and, if appropriate, that clear written arrangements are
drawn up and put into place to ensure that the work can be carried out safely.
Lone working must not be undertaken where there is a reasonably foreseeable risk that the work
might result in an accident which would be sufficiently serious to require a second person to be
available to summon help.
Those tasks which are deemed unacceptable to be performed by a lone worker under any cir-
cumstances should be documented in either the written record of risk assessments or other ap-
propriate documents.

4.5.13 Lone working prohibitions.

Situations where Lone Working is prohibited by law.

The following examples specify systems of work which require more than one person:

 Entry into confined spaces.

 Confined spaces include tanks, manholes, pipes, flues, ducts, ceiling voids, enclosed
basement rooms and other spaces where there may be inadequate natural ventilation.
 Erection of scaffolding.
 Use of specified dangerous machines.
 Persons are prohibited from working alone at the following machines unless they have re-
ceived sufficient training in work at those machines:
 Woodworking machines.
 Dough mixers.
  Meat mincing machines.
 Metal milling machines.
 Wire stitching machines.
 Guillotine machines (both powered and manual).
 Platen printing machines (both powered and manual).
 Slicing machines used in catering (both powered and manual).
 Hydraulic and pneumatic power presses.
 Potato chipping machines.

Food mixing machines when used with attachments for mincing, slicing, chipping or any other
cutting operations or for crumbling.
Sufficient Training in the context of these machines must include an appropriate period of 1:1 in-
struction on the hazards associated with them, and the measures required to minimise the risks.
The correct use of guards, safety devices and protective clothing where appropriate must be
demonstrated. A written record of the training must be kept.
Work on or near live electrical conductors.
The Electricity at Work Regulations give as examples the following electrical work where it is
likely that the person carrying out the work should be accompanied:
Electrical work involving manipulation of live, uninsulated power conductors at, say, 240 volts us-
ing insulated tools.
Other work on or near bare live conductors where a person working on his/her own would not be
capable of undertaking the work safely without assistance in, for example, keeping other persons
from the work area.

4.5.14 Safe Working Arrangements for Lone Working.

Safe working arrangements for Lone Workers.

Establishing safe working arrangements for lone workers is no different from organising the safety
of other staff. The obvious question that has to be asked is whether the risks of the work can be
adequately controlled by one person, or are more people necessary?
Lone workers should not be exposed to significantly higher risks than others who work together.
Precautions should take account of normal working conditions and foreseeable emergency situa-
tions, e.g. fire, equipment failure, illness and accidents. All situations where staff may be working
alone should be identified and the following questions asked.
Will situations which are legally prohibited arise? Does the workplace present a special risk to the
lone worker?
For example, it is not generally reasonable for staff to work alone in workshops because there is
usually dangerous machinery about. (Fatal accidents have occurred following entanglement on
centre lathes which may have been prevented had there been another person available to switch
off the machine and help the trapped person.)
However, if just low-risk work such as assembly or some cleaning were being planned, then pro-
vided other risks were minimised and a system of checking or line of communication established,
then it would be reasonable for a person to work alone.
Is there safe access and exit for that person?
In the evenings and at weekends, many doors which provide an exit from buildings during normal
working hours are locked for security reasons.
All means of escape required during normal working hours must be available wherever a person
works in the building outside normal working hours. However, the mechanism for opening doors
on exit routes may be different outside normal working hours.
A question to consider is:Has the lone worker been made aware that aspects of his/her
route out of the building in an emergency may be different?

 Can one person safely handle all the plant and equipment needed?

It may be heavy, awkward, unstable, large, etc. More than one person may be necessary to op-
erate essential controls for the safe running of equipment.

 Can all the substances and materials involved in the work be handled safely by one per-
son?

Hazardous substances, e.g. substances which are subject to the COSHH Regulations, flamma-
ble, cryogenic and radioactive materials must be considered carefully.
These are substances that have, for example, the potential to cause severe acute injury, either
alone or as a component of a reaction, to cause burns, or to affect the respiratory, cardiovascular,
or central nervous system.
The term 'handling', in this context, refers to a manipulative procedure or the supervision of a
chemical reaction that has not reached a stable state. It would not normally include moving a
closed container from one point to another, or being in the same room as a chemical reaction
which was safe and stable.
Will cash be handled and will there be a risk of violence?
Many lone workers are in locations where there is an amount of cash on the premises, such as
late-night retail outlets such as shops and petrol stations. These may well become the target of
unwelcome attention and because of the isolated nature of the job, the employee is often at even
greater risk than they would be if there were colleagues about. Arrangements should be made so
that if there was a violent occurrence, or an incident with the potential of violence, the worker
would have access to a safe area or communication with emergency services. Cash storage and
handling facilities should be arranged in such a way as to limit the opportunities for theft.
Medical Fitness.
Both routine work and foreseeable emergencies should be considered when assessing whether a
person is medically fit to work alone. Emergencies may impose additional physical and mental
burdens on the individual. If there is an incident, it may be several hours until the worker is dis-
covered, by which time it may be too late for any remedial action.
Training.
Training is particularly important where there is limited supervision in order to control, guide and
help in situations of uncertainty.
It may be critical to avoid panic reactions in unusual situations and lone workers therefore need to
understand fully the risks involved in the work, the necessary precautions and be sufficiently ex-
perienced.
Employers should establish clear procedures to set limits as to what can and cannot be done
whilst working alone, and, where appropriate, when to stop the work.
Supervision.
Although Lone Workers cannot be subject to constant supervision, there is still a duty on the em-
ployers to provide appropriate control of the work.
Supervision complements information, instruction and training and helps to ensure staff will un-
derstand risks associated with their work and ensure the necessary safety precautions are carried
out. It can also provide guidance in situations of uncertainty.
The extent of the supervision required depends upon the risks involved and the proficiency and
experience of the person carrying out the work to identify and handle safety issues.
Persons new to a job, undergoing training, doing a job which presents special risks or dealing
with new situations may need to be accompanied at first.
Illness, accidents and emergencies.
Lone Workers should be capable of responding correctly in emergency situations. Emergency
procedures should be established and the appropriate persons given clear and concise training
and instructions on how to implement them.
Similar information should be given to contractors or service engineers who may be working
alone.
Suitable systems should be devised to monitor the conditions of Lone Workers and in-
clude at least a check at the end of the working period. In addition, it may be necessary to
consider:

 Procedures where a member of supervisory staff periodically visits and visually monitors
Lone Workers.
 Procedures where regular contact between the Lone worker and a member of supervisory
staff or the security is maintained, using either a telephone or radio, e.g. where emer-
gency work is being undertaken by a call-out maintenance officer.
 Automatic warning devices which raise the alarm in an emergency and are activated by
the absence of activity from the Lone Worker.

4.5.15 Lone working and travelling abroad.

Suitable protocols and risk assessments need to be developed when lone working abroad.
When planning a trip abroad the following factors need to be taken into consideration:

 Security risks and travel to areas of political instability.

 Natural disasters and extreme climates.
 Areas of endemic and epidemic disease.

Information on the destination should be checked with the Foreign and Commonwealth offices to
obtain more detailed travel information for use in risk assessment.
Arrangements should be in place for to enable start and return dates to be recorded and a travel
itinerary provided for overseas visits. Organisations should ensure that contact information is held
for the employee including any in-country contacts, emergency contacts, mobile and overseas
phone details. It would be wise for employees to be covered by adequate travel insurance and if
vaccinations are required prior to travel these are arranged.
A reporting procedure should be established so employees contact the organisation by phone,
email or text at an agreed frequency.
The following hazards should be assessed as part of the risk assessment process:

 Inability to access medical care, despite insurance cover (some hospitals overseas will
only accept cash up front to provide treatment, even in a critical life threatening emer-
gency).
 In country medical care presents threats e.g. infection risks from syringes.
 Climate.
 Natural Disasters.
 Contact with animals.
 Food and Drink Hazards.
 Transportation in country.
 Hazards associated with the activities carried out during the off site visit.
 Lone Working and personal safety.
 Dealing with the public.
  Terrorism and security threat including kidnap.
 Competency of the traveller (previous experience of business travel , culture being visited
and location).
 Inability to communicate.
 Inability to summon help in an emergency.
 Inability to locate employee in an emergency.
 Fatigue at place of work due to travel frequency, duration times, and ability to take breaks
and rest periods.
 Fatigue when travelling and driving following flights.
 Inability to maintain an appropriate work life balance.
 Health effects due to long haul flights.

It is advisable for lone workers to seek the advice of their GP prior to travel, having given them an
outline of the destinations to be visited and the type of work to be carried out.

4.5.16 Other Regulatory Requirements.

The personnel who are to enter a confined space need to be competent for the task at hand. If
their job is simply to walk into a cave, stand and observe, then no specific skills are necessary,
other than an instruction from the group leader (whilst outside) to follow orders when in the cave.
The specific training appropriate for more complex or risky tasks depends on the outcome of the
risk assessment.
This guidance whilst addressing the specific subject of confined space working is a general over-
view and further more detailed guidance may be required.
More detailed reading on the requirements of the Regulations is available in "Safe work in con-
fined spaces" HSE, ACOP L101, ISBN 0 7176 1405 0.
Other Regulatory Requirements.
It is important when carrying out a risk assessment of confined space working, in compliance with
the requirement for general risk assessment under the Management of Safety and Health Regu-
lations that the mind is not focused solely on the hazards of confined spaces and other Regula-
tions overlooked.
The requirements of other Regulations may highlight similar or allied hazards to those outlined
above, or place parallel duties on those managing the work.
Some of these other Regulations bear a legal requirement to carry out risk assessment of the
specific hazard to which they relate.
However, it should be remembered that this does not necessarily require separate risk assess-
ments in order to ensure compliance with each separate set of Regulations.
If all statutory requirements and all obligations have been considered, and all hazard areas ad-
dressed, then all such assessments can be included in one risk assessment covering the specific
work being contemplated.
Some of the relevant legal requirements which should be considered are included in the
following Regulations:

 The Control of Substances Hazardous to Health Regulations 2002.

 The Electricity at Work Regulations 1989.
 The Provision and Use of Work Equipment Regulations 1998.
 The Control of Asbestos Regulations 2012.
 The Construction (Design and Management) Regulations 2007.
 The Workplace (Health, Safety and Welfare) Regulations 1992.
 The Personal Protective Equipment at Work Regulations 1992.
  The Manual Handling Operations Regulations 1992.

4.6 Permits to Work or Work Permits (General).

Permits to Work or Work Permits (General).

Permits to Work (PTW) or Work Permits are not difficult to understand. In practice however, get-
ting it wrong can have catastrophic effects!

 PTW are exactly what they say; permission has to be gained to undertake a task or gain
entrance to a particular area or item of plant.
 PTW do not normally give instructions on how the task of repair or entry or maintenance
should be undertaken, rather they are a way of making the task less of a risk by using a
method of specified procedures to be followed with respect to one or more of the hazards
associated with the task.

In simple terms, PTW are used to ensure that equipment, electrical or other, is switched off and
isolated before the maintenance work begins and that the equipment remains isolated for the du-
ration of the work or that entry to a hazardous (or potentially hazardous) area is controlled.
The key elements in PTW are:

 1. A clear statement of the aims of the PTW and what is to achieve.

 2. The steps to be taken before PTW is issued and the arrangements of the PTW.
 3. The steps to be taken while the PTW is in force.
 4. The steps to be taken when the PTW is being withdrawn, either temporarily or perma-
nent.

For your NEBOSH examination it is essential that you recall this and in this order.

Figure 1.

4.6.1 Tasks Requiring Permits to Work or Work Permits (General).

Typical high risk tasks for which PTW are used:

 Work with electrical (typically high voltage) equipment.

 Work with flammable liquids or gases.
 Work in confined spaces.
 Hot work, such as burning or welding which may introduce an actual or potential ignition
 source.
 Work at heights.
 Demolition work.
 Work in environments which present considerable health hazards.
 Radiation work.
 Conditions of severe thermal stress - repair work in kilns, food freezer storage systems.
 Work involving toxic dusts (asbestos), gases and vapours (often in confined spaces).

Lone working.
Aims of the PTW .
Gaining written permission to carry out a task. In real terms, a permit to work is a formal written
system covering all aspects of the work to be undertaken with signed authority required for the
various activities to take place.
Every aspect of the work is planned, overseen, checked and recorded and when the time
comes, is confirmed as having been completed satisfactorily:

 Proving a procedure to carry out a risk assessment prior to carrying out a high risk task.
 Providing a procedure to ensure that essential controls remain in place.
 Proving a procedure to ensure that things are returned to a safe state on completion of the
task.
 Providing a means of adequate communication for those managing and undertaking the
task.

Issuing the PTW .

 The PTW must state what work is to be undertaken, but may not need to detail how it will
be done.
 The PTW must detail where the work is to be done. Consider the ASM scenario and the
various pieces of equipment in different locations of the plant.
 The PTW must state when the work has to be done. Tasks may be required to be under-
taken in a particular order to ensure safety at all times.
 The PTW must indicate the hazards associated with the work and risk which may be in-
volved.
 The PTW must outline the risk control measures.

PTW are an essential part of safety practice. However, they are only effective if the procedure is
followed. They may be supported by Safety Rules; the rules should support and not contradict the
PTW.

4.6.2 Example Permit to Work or Work Permit (General).

The Example of a PTW.

Let's consider an example.
You will recall the example of the chalk works. The plant was old and had been developed over a
40 year period.
The main plant area or shed contained four Air Swept Mills (ASM), had hundreds of Cyclone ma-
chines used to separate the ground chalk powder from the mills into fine and heavy powder and
hundreds of screw conveyers that transported the powder to various storage silos.
The example used of a permit to work is for maintenance work on an Air Swept Mill (ASM). See
figure1 diagram below.
Air Swept Mill & Associated Equipment.
Firstly, the mill is approximately 12 tons when empty, 25 tons when loaded and is 2.5 m in diame-
ter. The mill revolves at approximately one revolution every two seconds. Consider that this
equipment is used for drying and grinding lumps of chalk into a powder, ready for fine separation
by various cyclone machines.
The raw material, blasted from the quarry and partially crushed, is transported by flat rubber belt
to the inlet of the mill; the rate of feed is controlled by the operator at between 6 tons and 12 tons
an hour, depending on the moisture content of the chalk.
The chalk requires drying; this is undertaken in the first chamber of two in the mill. A gas-fuelled
furnace was used in this instance. Air is introduced into the mill through the gas furnace inlet and
the ground material in the first chamber is pulled in to the second chamber by induction fan,
hence the name air swept mill.
Each of the two chambers has a crushing medium, in this case steel balls were used, 5 tons of
large ones in the first chamber, approximately 10cm in diameter and 5 tons of small ones in the
second chamber, approximately 2 cm in diameter.
A diaphragm or filter is situated more or less in the centre of the mill; it allows the crushed mate-
rial to enter the second chamber for further grinding and reduction of particle size.
At times the mill and the associated equipment required maintenance, either planned or reactive.
Let us now consider how this maintenance could be undertaken safely and the issues and as-
pects of PTW.
Scenario ASM.
Let's say that the Mill requires repairs to the diaphragm inside the chambers. We will now plan
this work from a safety point of view.

Figure 1. Mill Diagram.

4.6.3 Example Permit to Work or Work Permit (General).

Task Analysis.
To begin with, we may be required to undertake a Task Analysis.
All Task Analysis for safety work should begin with a detailed general task analysis using Hierar-
chical Task Analysis (HTA), or some other appropriate format.
Each stage of the work should be analysed and any hazards associated with a stage should be
recorded and the task assessed. Should the assessment find that part of the task involves the
switching off and isolation of machinery in order that it can be maintained safely, then a PTW may
be necessary. Of course the task may be entry into a confined space, but we will deal with that
later.
In the case of maintenance to the diaphragm, the assessment shows that an unplanned start of
the mill will cause injury to those in the mill and those working on other equipment associated with
the mill and that unless a PTW is implemented, the likelihood of an unplanned start is almost cer-
tain.
The risk assessment has been undertaken, those involved in the work and those who may be af-
fected by the work activities have been informed. The work is to take several days and be under-
taken in shifts. Liaison between groups of workers is essential.
The last thing you want to happen when you are maintaining a piece of work equipment is that it
starts or goes into motion unexpectedly.
In the case of the ASM, isolation from power supplies, electrical, pneumatic etc is an absolute
necessity. Ensuring that the gas supply to the furnace is isolated is also required.
In this case, the various items of equipment, the mill motor, the gas supply to the furnace, the as-
sociated belt motors and the induction fan were required to be switched off and isolated from their
power supply. At each point of the isolation, the switches were locked off. The main isolation
points allowed for padlocks to be put in place, ensuring that persons could not start the equip-
ment without first gaining permission and then being issued with the key to the lock. The padlocks
were numbered as were the keys.
It is essential that documentation is raised that allows for signing, as well as the detail of the
PTW, and as such allowing a task to be undertaken safely. In the case of the ASM, the person in
charge of the maintenance work liaised with the plant manager, the engineers and others who
where to carry out the tasks specified.
The PTW was signed by the Maintenance Manager, the Plant Manager and the Engineering Su-
pervisor, stating that the isolation was successful and that the equipment, from a PTW point of
safety was safe for work to commence.
Only when each point of isolation had been confirmed by all three parties and the isolation had
been checked by a competent electrician in the case of electrical power supply, could the various
tasks of work commence. The keys to the padlocks would be stored by the Plant Manager in the
office safe.
You may consider that having an electrician to check that the isolation is successful is not essen-
tial once the power supply has been switched off and the isolation is made. However, your risk
assessment should ask what if the wrong equipment is isolated or that the isolation is not suc-
cessful.
Keys would not be issued to any person without the signature of all three parties. Close supervi-
sion was in place at all times, even on the night shift.
If, for any reason, the Plant Manager or the person in control was not available, the keys would
not be issued. At times, this meant that the Plant Manager was called in to work to issue the keys
in the middle of the night.

Question 17.

Who should undertake the task of designing a permit to work system?

Multiple Choice (HP)
Answer 1: The safety supervisor/a competent person
Response 1: Thats Correct, however all those involved in the work activity should co-
operate and be trained in the permit to work.
Jump 1: Next page
Answer 2: The employer
Response 2:
Jump 2: This page
Answer 3: The worker
Response 3:
Jump 3: This page

4.6.4 Confined Space Permit to Work or Work Permits.

Permit to Work Systems - confined spaces.

As we have said, a Permit to Work system is a formal written system used to control certain types
of works which have been identified as having special risk.
It is also a means of communication between those who direct work (broadly manage-
ment/supervisors), those who have to work in confined spaces and those who need to take par-
ticular notice of the work so that their actions do not endanger others.
The Permit authorises certain named people to do certain things at a certain time, and sets out
the main precautions needed to complete the work safely. Sometimes this is augmented by a de-
tailed method statement.
The Permit to Work reassures those about to enter the confined space that the work will kept
safe, and tells those remaining outside what actions they ought to take (or perhaps what actions
not to take).
To achieve this, any Permit system has to be flexible (to take account of possible variable nature
of the work) but remain a truly effective control.
The design of a Permit to Work system can be complex, and rarely does the Permit stand alone:
it is usually accompanied by a local guidance document that explains the way in which the sys-
tem is meant to operate.
The following checklist will help those designing or preparing a Permit to Work system to decide
whether they have covered all the essential points. If the answer to any point is no, then you
should ask whether the absence of this feature in the system will compromise anyone's safety.
Checklist:

 Does the Permit cover all the relevant legal requirements?

 Does the Permit clearly define the limits of the work and the location concerned?
 Does the Permit procedure extend to contractors and their employees?
 Is compliance with the Permit procedure understood by all involved as being essential for
certain types of work?
 Is it clearly laid down who has the authority to issue Permits?
 Have personnel who issue Permits been formally authorised and received suitable train-
ing?
 Do Permits clearly specify to whom they are issued?
 Does the recipient have to sign the Permit to show that he/she has both read the permit
and understood the conditions laid down in it?
 Does the procedure provide both for the recipient to retain the Permit, and for a record of
 live permits to be maintained at the point of issue?
 Does the system stipulate where live Permits must be displayed?
 Do Permits specify clearly a time limit for expiry or renewal?
 Do Permits specify clearly the plant or geographical location to which the work must be
limited?
 Does the system ensure that the person in charge of the work is aware of all work con-
trolled by Permits that is proceeding within his/her area of responsibility?
 Does the Permit procedure include a hand-over mechanism for work that extends beyond
a shift or work period?
 Is a hand-back signature required when the activity is complete?
 Does the system show how the effectiveness of the procedures will be monitored?
 How will the effectiveness of the system be reviewed?
It is important that one activity authorised under a Permit to Work system does not create
danger for another.

Those who authorise the issue of Permits should be aware of potential interactions, and should
ensure that when a Permit is issued it takes account of, and does not conflict with Permits already
issued and still valid.

4.6.5 Disadvantages of Paper Based Permits to Work or Work Permits.

The disadvantages of paper-based systems.
As with most systematic processes, paper-based safety systems have their drawbacks.
Having a permit means you are safe?
One of the drawbacks of paper-based Safe Systems of Work is the false sense of security em-
ployees tend to have when they hold a work permit in hand.The issue of a permit, by itself, does
not make the job safe.
There is, however, a tendency for employees to subconsciously believe that the permit he or she
has somehow provides a shield of protection for the individual and his or her colleagues.
The reality is the permit in itself only contains conditions which must be adhered to.
The process, however, should have made the worker aware of the hazards he or she will likely
encounter and the measures to take to mitigate the risks they pose.
Bureaucracy is thorough, but slow.
Paper-based systems rely on bureaucracy to enforce the level of rigour such systems require.
Unfortunately many of the unpleasant elements of bureaucracy are present - form filling, waiting
for signatures, distribution of copies, etc. This is all time-consuming and an unintended outcome
is that users focus on the steps of the process instead of the content of the process.
People trying to wade through the many stages of a bureaucratic process often lose sight of the
reason why they exist and end up blaming the system as the barrier to their end objective.
How many workers see the PTW system as a set of hoops through which they have to jump in
order to be allowed to just do their job?
Lack of thoroughness.
Rules associated with paper-based processes are often too flexible to enforce sufficient rigour.
Similarly, they may lack detail to guide the process in all possible scenarios.
Employees who use these processes may be tempted to skip a step or shorten the process in
some other way. In any case, the abbreviated process or ambiguity of the rules compromises the
integrity of Safe Systems of Work.
Time consuming.
Employees may spend much of their time trying to obtain a supervisor's signature on the appro-
priate forms before he/she is able to complete a task.
Studies show that supervisors on offshore platforms spend as much as 50 percent of their time
doing non value-adding work including waiting for permits.
Poor communication.
Communication is integral in the permitting process. Paper-based systems typically rely on a sin-
gle central office where all permits are displayed for on-site employees to reference.
This requires copies of permits to be returned to these offices whenever changes are made or
work is suspended despite the distance they have to travel.
Even when employed in the most modest-sized plants, however, this is an inefficient use of em-
ployees' time and encourages people to deviate from the rules.
Poor Engagement of workers.
Understanding the importance of and following a company's safety protocol is essential to achiev-
ing and maintaining good safety performance records.
Often, however, workers view work place management processes as a permission-seeking exer-
cise instead of an awareness-building one.
Complex, multi-step processes and poor employee efficiency reinforce these undesirable atti-
tudes.
Poor integration of systems.
There is usually a multitude of disparate systems loosely referred to as a single system.
PTW may be one system, isolations or lock out/tag out another, hazardous materials handling a
third, Risk Assessment a fourth and so on. Typically, these are connected with more rules and
cross references.
To the worker, this is more bureaucracy resulting in an even bigger pile of paperwork.

4.6.6 End of Element Summary.

Controlling occupational hazards is the best way to protect workers from exposures.

Occupational hazards can be controlled using a number of strategies.

All of the control methods described in this unit are based on the same idea: Workers
should not be exposed to workplace hazards.
Some control methods are better than others, but no single method of control can completely pro-
tect workers from hazards.
If a hazard cannot be completely eliminated, then a combination of methods should be used to
reduce hazards to safe levels (levels that will not place workers' health at risk).
Some methods of control cost less than others but may not reduce hazards effectively.
The responsibility for preventing exposure is often placed on workers, requiring them to wear pro-
tective clothing, which is usually very uncomfortable in the hot and humid conditions that exist in
many workplaces.
Personal protective equipment, such as respirators, protective suits and ear muffs, should be
thought of as providing a back-up for other techniques that are designed to control hazards at the
source.
Describe the general principles of control and a basic hierarchy of risk reduction measures that
encompass technical, behavioural and procedural controls;
Order of Control Measures Priority:

 (1). Elimination or avoidance of the hazard at source.

 (2). Substitution of the hazard at source.
 (3). Placing a guard of some kind.
 (4). Remove the employee from the hazard.
  (5). Reduce the exposure of the employee from the risk.
 (6). Produce a safe method of working, safe system, safe procedure, that is known to the
employee and followed.
 (7). Ensure adequate and suitable levels of supervision.
 (8). Training.
 (9). Make safety rules, or issue instructions.
 (10). Issue Personal Protective Equipment (PPE).

Controlling occupational hazards is the best way to protect workers from exposures. Occupational
hazards can be controlled using a number of strategies.
All of the control methods described in this unit are based on the same idea: Workers
should not be exposed to workplace hazards.
Some control methods are better than others, but no single method of control can completely pro-
tect workers from hazards. If a hazard cannot be completely eliminated, then a combination of
methods should be used to reduce hazards to safe levels (levels that will not place workers'
health at risk). Some methods of control cost less than others but may not reduce hazards effec-
tively.
The responsibility for preventing exposure is often placed on workers, requiring them to wear pro-
tective clothing, which is usually very uncomfortable in the hot and humid conditions that exist in
many workplaces. Personal protective equipment, such as respirators, protective suits and ear
muffs, should be thought of as providing a back-up for other techniques that are designed to con-
trol hazards at the source.
Explain the key elements of a safe system applied to the particular situations of working in con-
fined spaces and lone working
Safe systems of work are an analysis of a task or process which considers the hazards likely to
be present and details the precautions necessary to avoid or minimise the risk to the health and
safety of individuals.
Factors that require consideration when designing a safe system of work may include:

 Adequate levels of supervision, including the possible need to appoint a competent per-
son to supervise the work.
 Suitability and competence of the workers, including experience, training, physical health
and mental attributes.
 Adequate communication arrangements to summon help in an emergency, or to allow
those inside the space to communicate both with each other and those outside.
 Testing of the atmosphere within the space, including the choice of test equipment, the
type of contaminates and level of oxygen.
 Whether purging of the space with air or inert gas would be required, and the method and
amount of ventilation that may be required.
 Whether cleaning the space or removal of residues is necessary and how this is to be
done.
 Whether gases, liquids, free-flowing solids and mechanical and electrical equipment can
be isolated and the way that this is to be achieved.
 Selection and use of suitable equipment for working or rescue within the space, including
lighting and Personal or Respiratory Protective Equipment. In cases where heat or humid-
ity levels are high and PPE or RRE is being worn, it may be required to limit working time.
 Whether machinery fuelled by petrol, diesel or gas can be excluded from the space.
 Prevention of static electricity build-up including earthing and bonding, and control proce-
dures for hoses and pipelines.
 Arrangements for access, egress, emergency situations and emergency rescue.
 Materials storage, fire prevention including smoking control arrangements inside and out-
side the space. Smoking should not be permitted in confined spaces; the results of a risk
assessment will determine whether it is necessary to extend this rule beyond the confined
 space.
 Signs e.g. to warn against unauthorised entry.

Explain the role and function of a permit-to-work within a safe system of work.
A Permit to Work system is a formal written system used to control certain types of works which
have been identified as having special risk. It is also a means of communication between those
who direct the work (broadly management/supervisors), those who have to work in confined
spaces and those who need to take particular notice of the work so that their actions do not en-
danger others.
The Permit authorises certain named people to do certain things at a certain time, and sets out
the main precautions needed to complete the work safely. Sometimes this is augmented by a de-
tailed method statement.
The Permit to Work reassures those about to enter the confined space that the work will kept
safe, and tells those remaining outside what actions they ought to take or not take.
To achieve this, any Permit system has to be flexible (to take account of possible variable nature
of the work) but remain a truly effective control.
The design of a Permit to Work system can be complex, and rarely does the Permit stand
alone: It is usually accompanied by a local guidance document that explains the way in which the
system is meant to operate.
The key elements in PTW are:

 1. A clear statement of the aims of the PTW and what it is to achieve.

 2. The steps to be taken before PTW is issued and the arrangements of the PTW.
 3. The steps to be taken while the PTW is in force.
 4. The steps to be taken when the PTW is being withdrawn, either temporarily or perma-
nent.

4.6.7 Example Past Exam Questions.

In order to assist you with your exams and to get a better idea of what types of questions may
arise concerning this lesson, please see below some example past questions based around the
content.

 Give the meaning of the term 'hierarchy of control'.

 Outline, with examples, the general hierarchy that should be applied with respect to con-
trolling health and safety risks in the workplace
 Outline the general hierarchy of control with an example of each control
 Outline the meaning of a permit to work
 Outline the specific details that should be included in a permit to work for entry into a con-
fined space.
 Identify 8 sources of information that might be usefully consulted when developing a safe
system of work.
 Outline precautions to ensure the health and safety of persons engaged in paint-spraying
in a motor vehicle repair workshop.

(These questions are here just for reference so there are no answers provided).