NG Study Notes v1.2

British Safety Council NEBOSH National General Certificate Study Notes
© British Safety Council 2021
Syllabus specification and content © NEBOSH, reproduced with permission*
* Syllabus Specification v3 date: October 2018, published February 2021 – the latest version of the
syllabus specification can be found at:
https://www.nebosh.org.uk/qualifications/national-general-certificate/#resources
NEBOSH National General Certificate Study Notes 2

Contents
Introduction ................................................................................................................................................. 5
NG1 Open Book Exam Guidance .............................................................................................................. 6
Element 1 – Why We Should Manage Workplace Health and Safety ................................................. 9
1.1 Morals and Money .......................................................................................................................... 9
1.2 The Force of Law – Punishment and Compensation ................................................................... 13
1.3 The Most Important Legal Duties for Employers and Workers .................................................... 24
1.4 Selection, Monitoring and Management of Contractors ............................................................... 30
Element 2 – How health and safety management systems work and what they look like ............. 36
2.1 What they are and the benefits they bring .................................................................................... 36
2.2 What Good Health and Safety Management Systems Look Like ................................................ 40
Element 3 – Managing Risk – Understanding People and Processes ............................................. 44
3.1 Health and Safety Culture ............................................................................................................. 44
3.2 Improving Health and Safety Culture............................................................................................ 47
3.3 How Human Factors Influence Behaviour Positively or Negatively ............................................. 58
3.4 Assessing Risk.............................................................................................................................. 62
3.5 Management of Change ............................................................................................................... 77
3.6 Safe Systems of Work for general Activities ................................................................................ 80
3.7 Permit to Work Systems ............................................................................................................... 84
3.8 Emergency Procedures ................................................................................................................ 86
Element 4 – Health and Safety Monitoring and Measuring ............................................................... 91
4.1 Active and Reactive Monitoring .................................................................................................... 91
4.2 Investigating Incidents .................................................................................................................. 99
4.3 Health and Safety Auditing ......................................................................................................... 106
4.4 Review of Health and Safety Performance ................................................................................ 110
Exam Style Questions – Summary Answers Points and Examples ...................................................... 113
OBE Mock Exam .................................................................................................................................... 133
Element 5 – Physical and Psychological Health............................................................................... 137
5.1 Noise ........................................................................................................................................... 137
5.2 Vibration ...................................................................................................................................... 141
5.3 Radiation ..................................................................................................................................... 144
5.4 Mental Ill-health........................................................................................................................... 148
5.5 Violence at Work ......................................................................................................................... 151
5.6 Substance Abuse at Work .......................................................................................................... 153
Element 6 – Musculoskeletal Health .................................................................................................. 155
6.1 Work-related Upper Limb Disorders ........................................................................................... 155
6.2 Manual Handling ......................................................................................................................... 158
6.3 Load-handling Equipment ........................................................................................................... 160
Element 7 – Managing Risk – Chemical and Biological Agents ..................................................... 165
7.1 Hazardous Substances .............................................................................................................. 165
7.2 Assessment of Health Risks ...................................................................................................... 168
7.3 Occupational Exposure Limits ................................................................................................... 171
7.4 Control Measures....................................................................................................................... 173
7.5 Specific Agents .......................................................................................................................... 179
Element 8 – General Workplace Issues ............................................................................................. 184
8.1 Health, Welfare and Work Environment ..................................................................................... 184
8.2 Working at Height ....................................................................................................................... 187
8.3 Safe Working in Confined Spaces .............................................................................................. 191
8.4 Lone Working .............................................................................................................................. 193
8.5 Slips and Trips ............................................................................................................................ 194
8.6 Safe Movement of People and Vehicles in the Workplace ........................................................ 195
8.7 Work-related Driving ................................................................................................................... 200
Element 9 – Work Equipment.............................................................................................................. 203
9.1 General Requirements ................................................................................................................ 203
9.2 Hand-held Tools.......................................................................................................................... 207
9.3 Machinery Hazards ..................................................................................................................... 209
9.4 Control Measures for Machinery................................................................................................. 213
Element 10 – Fire .................................................................................................................................. 217
10.1 Fire Principles ............................................................................................................................. 217
10.2 Preventing Fire and Fire Spread................................................................................................. 220
10.3 Fire Alarms and Fire Fighting ..................................................................................................... 224
10.4 Fire Evacuation ........................................................................................................................... 228
Element 11 – Electricity ....................................................................................................................... 231
11.1 Hazards and Risks ...................................................................................................................... 231
11.2 Control Measures........................................................................................................................ 235
NG2 Practical Assessment Guidance .................................................................................................... 240

Introduction
This set of study notes provides learners with the British Safety Council with a concise recourse of key
information for the National General Certificate in Occupational Health and Safety (2018 specification).
It is not designed to replace your classroom, live online or digital learning course but to give you a quick
reference you can use throughout your studies, whilst completing the Unit NG1 open book exam (OBE)
and following your studies. It also provides a reference for use when completing the Unit NG2 practical
assessment.
Syllabus summary
Element Assessment
1 Why we should manage workplace health and safety Open Book Examination
How health and safety management systems work and what (OBE)
2
they look like
Unit NG1:
3 Managing risk – understanding people and processes
Management of health and
4 Health and safety monitoring and measuring safety*
5 Physical and psychological health
6 Musculoskeletal health
7 Chemical and biological agents Practical assessment
8 General workplace issues Unit NG2:

Risk assessment
9 Work equipment
10 Fire
11 Electricity
* Elements 1.1, 1.2 and 3.4 of Unit NG1 are also assessed by the practical assessment (Unit NG2)
Additional guidance and resources supplied by NEBOSH can be found at:

https://www.nebosh.org.uk/qualifications/national-general-certificate/

NG1 Open Book Exam Guidance
Unit NG1 is assessed by an open book exam. You can use these study notes as well as other
resources provided and accessed through your course for reference during the exam which is accessed
and submitted online. You have 24 hours to complete the OBE exam, on average it takes around 8
hours for a student to complete the exam. To maximise marks in an OBE exam you need to
demonstrate understanding to the examiner (not just listing information). It is recommended that you
familiarise yourself with the OBE format and how to answer OBE questions before studying NG1.
NEBOSH have produced guidance on how to answer questions for scenario-based assessments such
as the OBE, you can access this document at https://www.nebosh.org.uk/digital-
assessments/certificate/resources-to-help-you-prepare/. We have also created videos to support
students developing exam technique for OBE exams which can be accessed on the Learning Zone.
Example question:
Scenario
You are working as a Health and Safety Advisor conducting a workplace inspection at a distribution
centre, during which you observe and speak to workers. Recently there have been a number of
incidents reported at the warehouse, including a worker who was moving equipment when a pallet fell
and broke their foot. The accident was investigated and determined the employee was at fault, stating
they were not paying attention and nudged the pallet with the trolley they were pushing, the other
incidents were not investigated. During the one hour inspection you see workers rushing to move
equipment in the distribution centre, as well as several senior managers cut through the warehouse as
a short-cut, none were wearing PPE. At the end of the shift you speak to the team leader on shift who
explains he has been in the office all day processing paperwork.
Task: Influencing health and safety culture

Question: What are the negative indicators of health and safety culture at the distribution site? (5)
How to maximise marks for this question:

• 5 answers – there are 5 marks available for this question (indicated by the number in brackets at
the end of the question), so 5 answers are required to maximise marks
• 30 words – each answer should be approximately 30 words in length (the overall exam is worth
100 marks with a word limit of 3000 words available, to maximise marks you will need to use the full
word limit)
• Distinct answers – each answer must be different and should be separated by paragraphs or
bullet points, an examiner will not award marks for duplicate or very similar answers
• Scenario – answers must come from the distribution site in the scenario, general indicators of
culture will not be awarded
• Health and safety culture – answers must link to health and safety culture, not safety
management or performance as this is specified in the task and question.
• Negative indicators – as the question specifies negative indicators each answer should use a
negative example from the scenario
It is really important that when you write an answer for an OBE exam you demonstrate understanding to
the examiner as they are not awarding marks for simply giving information or showing knowledge. A
good tip is to think of the examiner as having no knowledge of health and safety, they won’t assume
that you understand an answer unless you show this to them by concisely explaining it – the ‘why’ or
‘how’ is crucial. So for each of your answers to this question you need to explain why/how an example
from the scenario indicates a poor safety culture. On the next page we will look at some examples of
answers to this question.
If you are unsure what a question is looking for the task listed above the question links back to the
qualification syllabus and can be helpful in determining the key learning outcomes – for this question it
links to 3.1 - Health and safety culture.
With this question we are asked to identify the negative indicators so our process to build an answer
should be as follows:
1. Identify 5 issues at the distribution site
2. Match the issues to negative indicators of health and safety culture (taught in the course and
detailed in the study notes)
3. Build an answer explaining why/how each issue is a negative indicator of health and safety culture
Step 2
Step 1
Match the
Identify 5
issues to Step 3
issues at the
negative Develop a full answer to show understanding
distribution
indicators of
site
culture
Warehouse A negative indicator of culture is the worker being blamed for the
worker accident which broke their leg, indicating management are
Blame culture
blamed for looking to blame incidents on workers rather than address
accident organisational failures.
The lack of investigation of incidents is a negative indicator of

Incidents not Issues not
safety culture as it shows management lack commitment to
investigated addressed
address issues before they cause harm.
Workers rushing is a negative indicator of safety culture as it

Workers Productivity
demonstrates to others that it is acceptable to work quickly even if
rushing over safety
safety is compromised and it could result in injury.
Senior A negative indicator of safety culture is management not wearing

Not leading
managers not PPE in the warehouse, as they are not leading by example
by example
wearing PPE meaning employees may see PPE as optional.
Team leaders working all day away from their team is a negative
Team leaders
Lack of indicator of safety culture, it prevents supervision and the
away from
supervision addressing of unsafe acts and workers may feel their safety is not
warehouse
considered.

The 3 answers shown below are all correct answers to the question, however only one of them is likely
to be awarded good marks by an examiner:
• Workers blamed for accidents

• Incidents not being investigated
• Workers rushing to complete tasks
• Managers not wearing PPE
• Team leaders not supervising
The above points are all correct, but do not show understanding of how each issue is a negative
indicator of safety culture. This answer will receive minimal marks from an examiner
• A negative indicator of safety culture is management blaming employees for issues.

• Not investigating accidents is a negative issue of safety culture.
• Workers rushing indicates issues with the health and safety culture.
• A negative indicator includes managers not wearing PPE.
• Lack of leadership visibility is a negative indicator of safety culture
These are better answers, however there are issues with them, they do not utilise the specific issues
from the scenario or explain why an issue actually indicates a negative culture. This answer will
receive minimal marks from an examiner
• A negative indicator of culture is the worker being blamed for the accident which broke their leg,
indicating management are looking to blame incidents on workers rather than address
organisational failures.
• The lack of investigation of incidents is a negative indicator of safety culture as it shows
management lack commitment to address issues before they cause harm.
• Workers rushing is a negative indicator of safety culture as it demonstrates to others that it is
acceptable to work quickly even if safety is compromised and it could result in injury.
• A negative indicator of safety culture is management not wearing PPE in the warehouse, as they
are not leading by example meaning employees may view PPE as optional.
• Team leaders working all day away from their team is a negative indicator of safety culture, it
prevents supervision and the addressing of unsafe acts and workers may feel their safety is not
considered.
This is a good answer, it covers 5 issues from the scenario and explains why each is a negative
indicator of safety culture.

Element 1 – Why We Should Manage Workplace Health and Safety
Learning outcome Related Assessment criteria Assessment

The learner will be content
able to:
Justify health and 1.1 Discuss the moral, financial and legal reasons for OBE,
safety improvements 1.2 managing health and safety in the workplace Practical
using moral, financial Explain how the law works and the
and legal arguments consequences of non-compliance
Advise on the main 1.3 Summarise the main health and safety duties of OBE
duties for health and employers and workers in HSWA 1974 and
safety in the MHSWR 1999
workplace
Help their organisation 1.4 Explain how contractors should be selected, OBE
manage contractors monitored and managed
1.1 Morals and Money

Definitions
▪ Safety – An absence of danger from physical injury, e.g., from moving vehicles, falls from
height.
▪ Health – a person’s state of wellbeing which may be affected by e.g., noise, dust or stress.
▪ Welfare – facilities for workplace comfort, e.g., drinking water or toilets.
The Moral Expectations of Good Standards of Health and Safety.
▪ Employers have a moral duty to keep people safe and healthy in the workplace.
▪ Good standards of health, safety and welfare reduce injuries and ill-health which, in turn,
reduce pain and suffering.
▪ A moral approach can also increase employees’ motivation and satisfaction.
▪ Employees have a moral right to fair pay commensurate with their contribution at work.
▪ Employees unable to work due to ill-health or injury are disadvantaged. This
disadvantage can extend to their family for more than one generation.
▪ Employees are more than employees. They have lives outside of work and employers should
allow them opportunities to live those lives free from injury, ill-health or excessive fatigue
caused by work.
▪ Each organisation has a place in society. The way it runs its business should benefit, not
damage the local community or society.
▪ Moral attitudes towards worker health and safety have evolved since the industrial revolution
and continue to adjust.

The Legal Reasons to Manage Health and Safety.
▪ Health and safety legislation sets out the minimum standards of behaviour for organisations
and individuals.
▪ Failure to meet those standards, whether harm is caused or only threatened, is likely to attract
enforcement action.
▪ Those who are found to have broken the law are punished in proportion to the extent of
their breach. This acts as a deterrent to those who would break the law for their advantage.
▪ The key legislation used to set and to enforce the standards is the Health and Safety at Work
etc. Act 1974 (HSWA).
▪ The Act is supported and expanded by health and safety regulations including the
Management of Health and Safety at Work Regulations 1999 (MHSWR).
▪ The consequences for breaches include enforcement action, fines, imprisonment and civil
claims.
▪ Companies that fail to comply with health and safety law undermine the principle of a level
playing field where companies compete for work on equal terms. The level playing field is
essential to encourage fair competition.
The Financial Cost of Incidents (Insured and Uninsured Costs).
▪ Each accident at work incurs a financial cost.

▪ Each day an employee is off sick or unable to work at their full capacity incurs a financial cost.
▪ Each day an employee is dissatisfied with the way their employer treats them incurs a financial
cost.
▪ Some costs are direct i.e., you can quantify the cost easily – the cost of a repair to
equipment or buildings, court costs and increased insurance premiums.
▪ Some costs are indirect i.e., you cannot quantify the cost easily – loss of productivity due to
disruption, the cost of the accident investigation time, lost time attending court or reduced
efficiency when replacing an experienced employee with a temporary worker.
▪ The cost to the person affected should also be considered in terms of lost income, costs to
modify a home for disability access and their personal legal costs if pursuing a civil claim.
Insured costs – some costs can be recovered via insurance.

▪ Compensation for employees injured at work – via Employers’ Liability Compulsory
Insurance.
▪ Compensation for non-employees injured by work or for damage caused by work – via public
liability or third-party insurance.
▪ Recovery of the cost of repair to plant, buildings, tools and equipment
▪ Recovery of legal costs – via legal expenses insurance. (If this option is taken out)
Uninsured costs – some costs cannot be insured.

▪ Production delays, rework to materials, overtime, temporary labour, recruitment, training,
sick pay, investigation time.
▪ Fines and costs awarded by the courts.
▪ Insurance excess and increases in premiums.
▪ Lost business through negative publicity.
▪ Productivity losses through poor worker morale and distraction.
Employers’ Liability Compulsory Insurance (ELCI)
Almost all employers (excluding government organisations and some micro-businesses) must carry a
minimum of £5m ELCI. The certificate of insurance must be posted so that it can be seen by
employees. Failure to hold or post the insurance can attract fines.

Unit 1.1 Self-study activities Completed ✓
1 Review the HSE’s Health and Safety Statistics page to understand
the key figures and trends from accidents and incidents -
https://www.hse.gov.uk/statistics/
2 Research the history of Cadbury’s factory and village at Bourneville
and the history of Joseph Rowntree in the context of the fair
treatment of employees.
3 Research Maslow’s hierarchy of needs and understand how it can be
applied to the behaviour of employees experiencing poor standards
of health and safety at work.
4 Review an internal accident at work and estimate the costs
associated with the incident and which costs would be insured and
which would not.
5 What is statutory sick pay? Work out the impact that receiving this
amount would have on you and your family.
Exam Style Questions
You have recently joined a manufacturing company as their Health and Safety Advisor. Over the past
6 months there have been a high number of near-misses and accidents resulting in minor injuries
and damage to products and equipment. In one near-miss a contractor narrowly avoided being hit by
heavy mechanical equipment falling from faulty racking, the contractor was blamed for the incident by
the Engineering Manager in an argument. The incident was not formally reported and the contractor
told not to raise further safety issues or their contract could be cancelled. You have decided to
prepare a presentation for the board of explaining the benefits of effective health and safety
management.
1. What financial arguments could you use to motivate the directors to commit more time and effort
to managing health and safety? (10)
Note: You should support your answer, where applicable, using relevant information from the
scenario.
2. What moral arguments could you use to motivate the directors to commit more time and effort to
managing health and safety? (10)
scenario.

1.2 The Force of Law – Punishment and Compensation
Sources of Law
There are two distinct sources of law:

• Statute Law is the written law of the land which is introduced through parliamentary process.
• Common Law is established through previous civil cases which, through the findings and
rulings of the judge, set a judicial precedent against which similar cases can be measured to
provide a consistent outcome.
The Legal Status and Relationships Between Statutes and HSE Publications
Statutory Used to provide Legal Status

Instrument
Act of Acts are known as “primary legislation” and are passed Criminally
Parliament by the Houses of Parliament. The Health and Safety at enforceable
(Primary Work etc. Act 1974 is the primary legislation. Acts lay down
legislation) general duties to be followed and make provisions for the
Regulations and ACOPs.
Regulations Regulations are known as “delegated legislation” and are Criminally
(Delegated made under the Health and Safety at Work etc. Act 1974 enforceable
legislation) by the Secretary of State. The HSE and other interested
parties are consulted prior to implementation to ensure that
the Regulations are clear, achievable, and maintain the
spirit of the Act. Regulations contain much more detail
than the Act, normally on specific hazards and/or activities.
Some examples of health and safety regulations are:
Management of Health and Safety at Work Regulations
1999 and Provision and Use of Work Equipment
Regulations 1998.
Approved Approved Codes of Practice are produced by the Health Quasi-legal
codes of and Safety Executive with consent from the Secretary of
practice State. They are produced to give a recognised
(ACoPs) interpretation of how to comply with legislation. Approved
Codes of Practice are not legally binding, but they can be
used as evidence in court. Most Regulations will have an
ACoP providing interpretation. Such as Provision and Use
of Work Equipment ACoP, Prevention or Control of
Legionella ACoP.
Guidance Official guidance documents are provided by the Health Persuasive
documents and Safety Executive to give a greater understanding or
best practice advice on legislation of topics. Such as
lighting at work, safety in working with lift trucks.
Legal Status
Criminally enforceable – a breach of a statutory requirement can be enforced by an enforcing
authority or in a criminal court.
A ‘quasi legal’ standing.

The requirement is not that you have to comply, but if you choose not to follow the direction provided in
the ACoP, there must be sufficient evidence to prove that the measures adopted achieve the same
or better standard described in the ACoP and, therefore, compliance with the Regulations in question.
Persuasive
While failure to comply with guidance is not a breach of a statutory duty, the guidance can be used to
demonstrate that reasonably practicable measures were available and could readily be understood and
that such measures would have prevented the breach.
Legal Framework Example – Lighting
Absolute and Qualified Duties

Within the wording of legislation there are specific phrases used to indicate the requirement placed on
organisations or individuals. These are known as duties:
• Absolute duty – where the risk of injury is inevitable if precautions are not taken. This duty
does not allow choice and must be complied with, regardless of how much an employer can
afford. The employer ‘must’ and ‘shall’. Such as, within the Management of Health and Safety
at Work Regulations, regulation 3: ‘every employer shall make a suitable and sufficient risk
assessment’.
• Qualified duties
o So far as is practicable – the requirements must be carried out and are only limited by
the current state of knowledge and invention, even though implementation may be
difficult and/or costly. I.e. if it is technically possible then it must be done. Such as
the Provision and Use of Work Equipment Regulations 1998, regulation 11.2(a) ‘the
provision of fixed guards enclosing every dangerous part or rotating stock-bar where
and to the extent that it is practicable to do so’.
o So far as is reasonably practicable – an employer can balance the cost versus the
benefit in terms of risk reduction. If the benefit is minimal compared to the cost, the
employer need not carry out the duty. The cost being considered incudes money, time,
inconvenience and effort. If risk is considered high e.g., potential for serious injury or
death, then greater cost is justifiable. Most health and safety regulations use this term
and is linked closely to the need for good risk assessment.
The Importance of Common Law
Common law has evolved over centuries. It is created and amended by the decisions (precedents)
made by courts. It is expressed in the form of decisions (case law). Common law is a reflection of
societal expectations of what is right. Consequently, as societal expectations evolve, common law
evolves. This allows for interpretation of new circumstances guided by existing common law.
There are three examples of case law particularly relevant to health and safety. They created legal
precedents that establish important legal principles that influence not only decisions made in court, but
they also influence how employers and individuals behave towards each other. They are:
• Donoghue v Stevenson (1932)
• Wilsons and Clyde Coal Co. Ltd v English (1938)
• Paris v Stepney Borough Council (1951)
Relevance of Statute and Common Law to Criminal and Civil Law
The law can be used for two purposes: Criminal Law and Civil Law. The purpose of Criminal Law is
to punish those who break the law. The purpose of Civil Law is to right wrongs to restore a situation to
the way it should be.
Common Law can be a source of law for both Criminal Law and Civil Law cases. While most
Common Law is used for Civil Law purposes, there are exceptions such as the Common Law offence of

gross negligence manslaughter. A person found to have met the conditions set out in Common Law for
gross negligence manslaughter will be guilty of a criminal offence.
Statute Law, in terms of health and safety, is used primarily for Criminal Law purposes such as the
Health and Safety at Work etc. Act. However, some statutes set out civil liabilities, such as the
Occupier’s Liability Act which outlines what can reasonably be expected by a ‘visitor’ when entering any
premises.
Types of Law
Criminal Law.
Criminal law is the way law is used by a state to identify and criminalise behaviour that is considered
wrong, damaging to individuals or to society. Therefore, a criminal offence is an Offence Against the
State. The state brings a case against a defendant on behalf of society with the purpose of
Prosecution to Establish Guilt. Therefore, criminal law cases are quoted as R v defendant where ‘R’
is short for Regina (the Queen).
Burden and Onus of Proof.
The criminal justice system is the whole process involved in prosecuting a defendant and this includes
investigation to conviction and sentence or to acquittal. The prosecution must prove the case beyond
reasonable doubt. This is the burden of proof for criminal law and it represents a very high degree of
confidence needed by the court if they are to imprison or fine an individual or levy a fine against an
organisation. Section 40 of the HSWA modifies the normal burden of proof by requiring the defendant
to demonstrate that they complied with the legal requirements placed on them (unlike most
criminal cases where the defendant is assumed not guilty until proven otherwise). Defendants in non-
health and safety cases do not need to prove compliance but the prosecution must demonstrate non-
compliance. However, the state must still prove the case beyond reasonable doubt and this will be
contested by the defendant who will attempt to demonstrate compliance.
Civil Law
The purpose of Civil Law is to right wrongs or to regulate disputes between individuals. A private
individual (the claimant) may bring a case against (sue) another person or legal entity (defendant) for
the purpose of Seeking Compensation. Both parties will argue their case and the Burden of Proof
for a successful case is the ‘balance of probability’. This is accepted as a lower standard than the
criminal law burden of ‘beyond reasonable doubt’.
The Limitations Act 1980 requires claimants to bring a claim within three-years of the date of discovery
of a loss. The ‘date of discovery’ allows for when the loss ought to have been discovered through
reasonable enquiries and also for discovery occurring many years after the initial event, such as
discovery of asbestos related lung disorders 40-years after the initial exposure. If a claimant brings the
case beyond the three-year limitation, the defendant may argue that the case is Statute Barred.
Criminal Law Liabilities

Role and Functions of the Health and Safety Executive and Local Authorities
The purpose of the Health and Safety Executive in Great Britain is to secure the health, safety and
welfare of people at work and to protect others from risks to health and safety from work activity. This
includes setting the strategy for health and safety compliance, consulting on and drafting legislation and
approved codes of practice and enforcing health and safety law. The Health and Safety Executive for
Northern Ireland has a similar purpose and functions.
The functions of the Health and Safety Executive are to:

▪ Provide information such as approved codes of practice, guidance, leaflets and statistics.
▪ Organise and deliver campaigns to target current health and safety threats.
▪ Carry out health and safety inspections to ensure compliance.
▪ Carry out accident investigation.
▪ Give advice and assistance to employers on how to comply with their statutory duties.
▪ Take enforcement action such as issuing improvement or prohibition notices.
▪ Maintain negative publicity including the registers of enforcement notices and prosecutions.
▪ Instigate legal proceedings.
Local Authorities have similar functions to that of the Health and Safety Executive. They do not
develop legislation and guidance. They are responsible for the law in lower-risk workplaces
including offices, shops and restaurants. All higher risk environments such as construction sites,
manufacturing facilities, hospitals, local authority locations, mines and vehicle repair garages are
subject to Health and Safety Executive enforcement.
In England and Wales, the Crown Prosecution Service provide advice to the Health and Safety
Executive and other agencies to determine whether a case should be brought to court. They can
conduct prosecutions in the Magistrates’ Courts or Crown Court. HSE Inspectors may conduct
prosecutions in Magistrates’ courts without referring to the CPS. In Scotland, enforcing authorities refer
cases to the Procurators Fiscal who decide whether to bring a prosecution.
Why Fees for Intervention Are Charged
The purpose of Fee for Intervention is to shift some of the financial burden to businesses and
organisations that break health and safety rules away from the public purse. From 2012, the Health
and Safety Executive recovered its costs by charging for time spent investigating material breaches of
health and safety law and carrying out enforcement action up to court cases. A Material Breach of
Legislation occurs when, in the opinion of the HSE inspector, there is, or has been a sufficiently
serious contravention of health and safety law that requires them to issue notice in writing of that
opinion. This notice is a Notice of Contravention (NOC). This means that there is or must have been a
threat to the health or safety of someone. The HSE Inspector will record the time they spend performing
their duties regarding the material breach. The employer concerned will be invoiced for the time spent
at £166 per hour (as of April 2023).
Powers of Inspectors

HSE Inspectors have powers to enable them to perform their functions primarily to investigate accidents
and to enforce health and safety law. Those powers are:
▪ To enter any work premises at any reasonable time.
▪ To take a police constable with them in case of an obstruction.
▪ To undertake examinations and inspections as necessary.
▪ To collect evidence such as measurements, photographs and recordings.
▪ To order premises and equipment to be left undisturbed.
▪ To take / render harmless articles and substances.
▪ To order testing, dismantling and examination.
▪ To inspect or take copies of documentation.
▪ To require a person to answer questions and sign a declaration of the truth.
▪ To take enforcement action.
Enforcement Notices
Improvement Notice
Inspectors have several enforcement options open to them including Improvement Notices, Prohibition
Notices, formal cautions and warnings. An Improvement Notice is issued by an inspector if the
Conditions for Serving are:
• There is a contravention of one or more relevant statutory provisions.
• There has been a contravention in circumstances that make it likely the contravention will be
repeated.
The Effect of the notice being served is that the recipient must make the improvements specified within
the stated time (not less than 21-days). The recipient may Appeal against an Improvement Notice
within 21-days of the date of service and this has the effect of suspending the notice. The notice is
not lifted by the inspector, but compliance satisfies the notice.
Prohibition Notice
A Prohibition Notice is issued by an inspector if:
• A workplace activity involves, or will involve, the risk of serious personal injury.
The Prohibition Notice takes immediate Effect in that the activity described must cease. However, an
inspector may determine that the immediate cessation of the activity is impractical and may stipulate a
date when the activity must cease. The recipient may Appeal against a Prohibition Notice within 21-
days of it being served. However, the activities described in the Prohibition Notice must not resume
unless the notice is overturned by a tribunal. An inspector may lift a Prohibition Notice once they are
satisfied that the recipient has removed the threat of serious personal injury.
Penalties for Failure to Comply with either an Improvement Notice or a Prohibition Notice carry up to
two-years prison sentence and/or an unlimited fine as well as the right to prosecute for the original non-
compliance.
Simple Caution
A simple caution is a formal warning intended to deal with a person committing an offence but where
it is not in the public interest to proceed to prosecution. It is defined as ‘a statement by an
Inspector, that is accepted in writing by the duty holder, that the duty holder has committed an offence
for which there is a realistic prospect of a conviction. A simple caution may only be used where a
prosecution could properly be brought’. Circumstances when a simple caution would be appropriate
could include when the duty holder suffered significant injury or ill-health as a result of the non-
compliance and to prosecute could adversely affect their health.
A repeat of a breach that was the subject of a simple caution would be treated in the same way as
failure to comply with an enforcement notice.
Prosecution
There are two classes of offences when a case is brought before the courts: Summary Offence and
Indictable Offence.
Summary Offences arise due to less serious breaches of law. These may stem from some of the
general duties in the HSWA or from requirements of health and safety regulations. Examples could
include a failure to record the significant findings of risk assessments or to report an incident under
RIDDOR. These offences are normally tried in the Magistrates’ Court in England and Wales and in the
Justice of the Peace Court in Scotland.
Indictable Offences are more serious offences or repeat offences. They are tried in the Crown Court
in England and Wales. In Scotland serious offences are labelled ‘solemn’ and these cases involve trial
by jury, normally in the Sheriff Court.
Criminal court penalties for breaches of health and safety law include:
▪ Imprisonment (2-years indictable offence, 6-months summary offence)
▪ Unlimited fine
▪ Compensation order – pay compensation for personal injury, loss or damage.
▪ Remedial Action Order – remedy the matters that caused the offence (rare).
▪ Publicity Order – publish information about the offence and sentence.
▪ Community Order – serve the community when given a suspended prison sentence.
▪ Disqualification Order – prohibit from being a director for up to 15-years.
The Corporate Manslaughter and Corporate Homicide Act (CMCHA) allows an organisation to be
convicted of manslaughter (homicide in Scotland). Individuals within the organisation can still be
prosecuted for separate health and safety offences. The police will investigate possible corporate
manslaughter. For a successful prosecution, the following must be proved:
▪ The defendant is a qualifying organisation (not a partnership with no employees or self-
employed person).
▪ The organisation caused a person’s death.
▪ There was a relevant duty of care owed by the organisation to the deceased.
▪ There was a gross breach of that duty.
▪ A substantial element of that breach was in the way those activities were managed or organised
by senior management.
A gross breach means that the way in which the organisation managed health and safety fell far
below the standards normally expected.
Defences used in court vary slightly depending on whether it is alleged that there has been a breach of
the HSWA or CMCHA. Where there is an alleged breach of the HSWA, the defendant will need to
show that they complied to the extent required by the legislation. Consequently, it is important to
recognise whether the duty was absolute (shall/must) or qualified, (practicable, reasonably practicable)
or in the case of a personal prosecution under HSWA section 7, that an individual took reasonable care.
Where there is an alleged breach of the CMCHA, the defendant would need to demonstrate that there
was no gross breach of the duty of care rather than being no breach at all. They may also need to
demonstrate that the way in which health and safety was managed by senior management did not fall
below the standards expected.
Civil Law Liabilities
A Tort (England and Wales) or Delict (Scotland) is a Civil Wrong committed by one party against
another. The most common Tort used for causing harm at work is the Tort of Negligence. The civil
wrong in this instance is a failure to discharge a duty of care that was owed to a reasonable standard.
This requires that the conduct fell below what a reasonable person would do to protect another from a
foreseeable risk of harm. This requires application of the Duty of Care or Neighbour Principle
established in the case of Donoghue v Stevenson (1932). The ruling given by the judge stated that:
“You must take reasonable care to avoid acts or omissions which you can reasonably foresee would be
likely to injure your neighbour. Who, then, in law, is my neighbour? The answer seems to be persons
who are so closely and directly affected by my act that I ought reasonably to have them in
contemplation as being affected when I am directing my mind to the acts or omissions which are called
in question.”
The Tests for the Tort of Negligence are that the claimant must prove:
▪ A Duty of Care was Owed to the claimant by the defendant.
▪ That Duty of Care Was Breached.
▪ The breach of duty of care led directly to the Injury, Damage or Loss.
The Defences for the Tort of Negligence are the reverse of the tests:
▪ No duty of care was owed to the claimant.
▪ There was no breach of the duty of care because reasonable care was taken.
▪ No injury or damage was sustained.
▪ The injury or damage sustained did not result from the breach of duty of care.
▪ The injury or damage was not foreseeable.
Further defences include Volenti Non Fit Injuria which translates as ‘to one who is willing no harm is
done’. This is a rarely used defence where the claimant freely agreed to run the risk of accidental
harm. It could apply to a person playing cricket or to a boxer where being struck by a ball or hit by an
opponent’s glove is an accepted risk. There is also a statute of limitations of three-years before legal
proceedings become Statute Barred.
A partial defence is that of Contributory Negligence. This partial defence requires the defendant to
show that the claimant was partly at fault and that their own failure led to their injury or loss. If this is

proved, any damages awarded to the claimant may be reduced in proportion to how much they were to
blame.
When deciding who to sue, a claimant will normally sue the employer rather than an individual
employee because of the principle of Vicarious Liability. Vicarious Liability establishes the principle
that an employer is responsible for the torts of their employees, even if the employer has not been
negligent.
A common duty of care quoted when using the Tort of Negligence when an employee has been
injured while at work is that of the Employers’ Common Law Duty of Care. The duty of care that an
employer owes to an employee was established in the court case Wilsons and Clyde Coal Co. Ltd v
English (1938). The employer is required to provide:
▪ A safe place of work
▪ Safe appliances and equipment
▪ A safe system of work
▪ Competent co-employees.
An alternative to a breach of the Employers’ Common Law Duty of Care is a Breach of Statutory
Duty. However, changes introduced in 2013 removed the right to make a civil claim for a breach of the
HSWA and associated regulations. This means that claimants must prove that their employer was
negligent rather than relying on a proven breach of their statutory duty in a criminal court. One notable
exception to this is that New and Expectant Mothers can still seek compensation where an employer
requires them to work within two-weeks of giving birth, fails to carry out a suitable and sufficient risk
assessment for them or to make particular arrangements for them and where such failures cause harm.
To be successful in a claim for breach of statutory duty the claimant must show that:
▪ The defendant was in breach of the statute
▪ The breach caused the injury
▪ The claimant was a class of person the statute intended to protect
▪ The type of injury was the type of injury the statute was intended to protect.

Legal System – England and Wales:

1 Research the legal cases of Donoghue v. Stevenson (1932), Wilsons and
Clyde Coal v English (1938), Paris v Stepney Borough Council (1951) and
summarise their importance.
2 Research the legal case of R v Adomako (1995) and summarise its
importance.
3 Research the Occupiers Liability Act and consider how it could apply to
your own home.
4 Search the link below for an explanation of the courts structure in Great
Britain. https://www.judiciary.uk/about-the-judiciary/the-justice-
system/court-structure/
5 Explore the HSE’s prosecutions database and enforcement notices
database. Search for company names on both databases and identify the
breaches recorded. https://www.hse.gov.uk/enforce/convictions.htm
6 Research the Social Action, Responsibility and Heroism Act 2015. Record
why it was introduced and how this might protect some individuals.

You are working as an independent health and safety consultant; a client has contacted you to
advise that one of their employees has been injured at work. The employee was drilling metal using a
pedestal drill which had had its guard removed and was struck in one eye by swarf ejected from the
drill, they are expected to lose their eyesight in that eye. The accident has been reported to the
Health and Safety Executive (HSE), who have advised they will be conducting a workplace
inspection. The client does not have any risk assessments in place for the use of drills and has asked
what the next steps will be in terms of the inspection and potential action taken by the HSE.
1. Based on the scenario, advise the client what the inspection and further action are likely to entail.
(10)
scenario.
2. One month after the incident the client advises you that the employee has initiated a civil claim
for damages based on employer negligence. It has also come to light that the employee removed
the guard from the drill and was not wearing safety goggles, both or which are against company
policy.
List FIVE defences to civil claims and in each case advise whether the defence is likely to
succeed. (5)
scenario.

1.3 The Most Important Legal Duties for Employers and Workers
The most important legal duties for employers and workers are set out in the Health and Safety at
Work etc. Act, 1974 (HSWA), and in the Management of Health and Safety at Work Regulations,
1999 (MHWSR). MHSWR applies to almost all work situations, unlike many other regulations that
only apply if the hazard described by the regulations exists within the workplace. Its scope covers the
general management of health and safety in any workplace and it adds detail to some of the general
requirements stated in the HSWA.
Health and Safety at Work etc. Act 1974 (HSWA)
Section 2 – Duties of Employers to Employees

Section 2(1) – General duty
▪ To ensure, so far as is reasonably practicable, the health, safety and welfare at work of
employees.
Section 2(2) – Specific duties

▪ To ensure, so far as is reasonably practicable, the health, safety and welfare of employees
through:
a) Safe plant and systems of work
b) Safe use, handling, storage and transport of articles and substances
c) Provision of information, instruction, training and supervision.
d) Safe place of work, including means of access and egress.
e) Safe and healthy working environment and welfare arrangements.
Section 2(3) – Safety policy

▪ Employers shall prepare a health and safety policy and communicate it to employees.
▪ It shall be reviewed as appropriate.
▪ Where there are five or more employees, the policy must be in writing.
▪ It must include:
• A written statement of general policy.
• The organisation’s procedures and systems of work arrangements.
▪ It must also be brought to the attention of all employees.
▪ It must be revised as appropriate.
Section 2(6) – Consultation

Duty of the employer to:
▪ Appoint safety representatives from the workforce.
▪ Consult with them.
Section 2(7) – Safety Committee

▪ Duty of the employer to establish a safety committee if requested to do so by trade union
representatives.
Section 3 – Duties of Employers and Self-Employed to Persons Other Than Employees

The employer shall so far as reasonably practicable not expose them (visitors, contractors) to risk to
their health and safety, and give them information about risks which may affect them.

Section 4 – Duties of Those in Control of Premises
Anyone in control of premises must ensure safe access and egress and ensure that plant or
substances in the premises are safe and without risk to health.
Section 6 – Duties of Designers, Importers, Manufacturers and Suppliers

Specific duties to ensure that articles and substances for use at work are safe.
▪ Ensure articles designed and constructed are safe and without risk to health
▪ Ensure substances are safe and without risk to health
▪ Importers / installers to ensure article or substance complies with UK requirements
▪ Undertake sufficient research, testing and examination
▪ Provide information about safe use and disposal
▪ Revise provided information if a serious risk becomes known
▪ Provide a written undertaking if duties are transferred from one party to another
▪ Duties ‘so far as is reasonably practicable’.
Section 7 – Duties of Employees

Employees should take reasonable care of their own health and safety and that of others who may be
affected by their acts or omissions. They should co-operate with the employer so that the employer can
comply with its statutory obligations.
Section 8 – Duties of All Persons

No person shall intentionally or recklessly misuse or interfere with anything provided in the interests of
health, safety or welfare.
Section 9 – Duty of Employer Not to Charge

The employer shall not charge employees for anything done or provided to comply with a specific legal
obligation e.g., provision of PPE.
Section 36 – Offences Due to the Fault of Another Person

Where a person breaches health and safety legislation due to the act or default of some other person,
that other person may be charged with the offence irrespective of whether proceedings are taken
against the first mentioned person.
Section 37 – Offences by the Body Corporate

Where there has been a breach of legislation by the company and the offence can be proved to have
been committed with the consent, connivance or neglect of a director, manager, secretary or similar
officer, they, as well as the body corporate, can be charged in relation to the offence.
Management of Health and Safety at Work Regulations 1999 (MHSWR)
Regulation 3 – Risk Assessment

▪ Employers (and the self-employed) must make a suitable and sufficient assessment of the risk
to the health and safety of their employees and to anyone else who may be affected by their
work activity
▪ Employers with five or more employees must record the significant findings in writing.

Regulation 4 – Principles of Prevention to be Applied
▪ Employers must implement preventive and protective measures on the basis of the general
principles of prevention specified in Schedule 1 to the Regulations.
The Principles of Prevention are:

a) Avoiding risks.
b) Evaluating the risks which cannot be avoided.
c) Combating the risks at source.
d) Adapting the work to the individual (alleviating the effects of monotonous work).
e) Adapting to technical progress.
f) Replacing the dangerous by the non-dangerous or the less dangerous.
g) Developing a coherent overall prevention policy (technology, work organisation, work
conditions, social relationships, work environment).
h) Giving collective measures priority over individual factors.
i) Giving appropriate instructions to employees.
Regulation 5 – Health and Safety Arrangements

▪ Appropriate arrangements must be made for the effective planning, organisation, control,
monitoring and review of preventive and protective measures (i.e. a health and safety
management system)
▪ Employers with five or more employees must have their arrangements in writing.
Regulation 7 – Health and Safety Assistance

▪ The employer must appoint one or more competent persons to assist him in complying with
legal obligations
▪ The competent person(s) must be given the necessary time and resources to fulfil their
functions.
Regulation 8 – Procedures for Serious and Imminent Danger and for Danger Areas
▪ Employers must establish emergency procedures and appoint competent persons to ensure
compliance with the arrangements
▪ Access to areas of risk should be limited to those with adequate health and safety
knowledge and instruction.
Regulation 10 – Information for Employees

▪ Employees must be provided with relevant information and instruction about hazards and
control measures.
Regulation 13 – Capabilities and Training

▪ Employers must take into account the capabilities of employees before entrusting tasks
▪ Employers must provide adequate health and safety training including induction, refresher
and specific training should roles change or new equipment be introduced.
Regulation 14 – Employees’ Duties

▪ Employees must use machinery, equipment, substances, transport, means of production and
safety devices in accordance with the instructions and training that they have received.
▪ They must inform their employer of any situation representing a serious and immediate
danger.

▪ They must inform their employer of any shortcomings in the employer’s arrangements for
managing health and safety.
Regulation 16 – Risk Assessment in Respect of New or Expectant Mothers

▪ Where the work is of a kind which would involve risk to the mother or baby (e.g. exposure to
noise, vibration, chemicals such as lead) then the risk assessment required by Regulation 3
should take this into account.
▪ If the risk cannot be avoided, the employer should take reasonable steps to adjust the
hours worked; offer alternative work; or give paid leave.
Regulation 18 – Notification by New or Expectant Mothers

▪ The employer need take no action until notified in writing by the woman that she is pregnant,
has given birth in the last six months, or is breastfeeding.
▪ Factors that may increase the risk to a pregnant worker:
• Manual handling.
• Tasks involving exposure to ionising radiation.
• Tasks involving regular exposure to low frequency vibration.
• Tasks involving exposure to chemical substances, such as lead.
• Tasks involving exposure to biological agents, such as hepatitis.
• Tasks that involve prolonged periods of standing.
▪ Factors to consider when carrying out a risk assessment for a pregnant worker:
• The nature and duration of the task.
• Physical environment, e.g. temperature, vibration, ionising radiation Chemical
hazards, e.g. lead.
• Ergonomic issues, e.g. prolonged standing.
• Psychological issues, e.g. stress.
• Threat of violence, PPE issues, provision of breaks.
Regulation 19 – Protection of Young Persons

▪ Employers of young persons shall ensure that they are not exposed to risk as a
consequence of their lack of experience, lack of awareness or lack of maturity.
▪ No employer shall employ young people for work which is beyond their physical or
psychological capacity; involves exposure to toxic or carcinogenic agents; involves
harmful exposure to radiation; involves a risk to health from extremes of temperature, noise
or vibration; or involves risks which could not be reasonably foreseen by young persons.
▪ Factors that may increase the risk to a young worker:
• Lack of experience.
• Lack of physical or psychological capability.
• Lack of maturity.
• Poor risk perception.
• Peer pressure.
▪ Measures to minimise the risk to young workers:
• Risk assessment.
• Restrict exposure to certain hazards.
• Training on specific area of work.
• Close supervision.

1 Open the website https://www.legislation.gov.uk/ and search for the
Health and Safety at Work etc. Act. Note the amendments to the Act
and then browse the contents list to understand how it is structured.
2 From the same website download the Management of Health and
Safety at Work Regulations 1999. Note the number of amendments.
Browse the regulations not covered in the notes 6, 9, 11, 12, 15
3 Open the HSE web area for young people and explore the guidance
provided. https://www.hse.gov.uk/youngpeople/

You are working as the Health and Safety Manager for a small supermarket chain. An accident has
occurred at one of the stores injuring a member of the public who was shopping at the time. A freezer
in the store was malfunctioning so the Store Manager asked a Checkout Operator to move the
contents to another freezer and turn off the faulty freezer whilst awaiting and engineer to fix it. After
the freezer was turned off condensation from it formed a pool on the waterproof acrylic flooring
around it. 4 hours after the freezer was turned off an elderly customer slipped on the contaminated
flooring and suffered a broken hip. The company has a documented procedure for defrosting
freezers which includes the placement of matting around the freezer to absorb excess condensation
and placing warning signs around the area as well as conducting checks every 30 minutes that the
area is safe. The manager and employee both knew such a procedure existed but had never actually
read it, the matting and signs were not put in place and no checks on the area were carried out.
1. You have been asked to prepare an incident report for management detailing legal duties which
all parties may have breached under the Health and Safety at Work etc. Act 1974. Explain 5
duties which may have been breached. (5)
scenario
2. As part of the investigation you examine the freezer and the manufacturer’s instructions. The
manufacturer’s instruction manual provided for the particular model of freezer doesn’t provided
information on defrosting the appliance, but it does indicate that the release of water is eliminated
by a condensation containment system, however this system does not appear to have actually
been fitted. Checking on the manufacturer’s website it appears that this feature was removed
from this model, but the manual online still indicates it is installed as standard.
What duties may have been breached by the manufacturer under the Health and Safety at Work
etc. Act 1974. (3)
You are working for Greenway Safety, a health and safety consultancy company. One of the
company’s clients is a software development company employing 200 people, which has employed
Greenway to review their management of occupational safety and health as well as provide ongoing
guide and support. A colleague visited the client’s head office last week and emailed you the
following summary notes before you visit together next month:
No health and safety policy and planning documented. General and task-based risk assessments
last reviewed 3 years ago before the company moved offices, 3 employees currently expecting
children but no individual assessment. Control measures detailed in existing risk assessments are
ineffective, not following hierarchy. Fire risk assessment is up to date, also covers office sub-let to
tenant, fire drill last carried out and documented 2 months ago. 2 of the fire doors in the main office
area had been wedged open using paper. Employees all attend induction and given training on
manual handling and safe use of DSE equipment, this is updated on an annual basis. 2 17 years old
apprentices employed as software developers, full induction completed along with suitable risk
assessment 9 months ago, supervised by senior colleagues and line manager.
3. You are reviewing the notes and identifying which regulations the client may be in breach of, or
compliant with, under the Management of Health and Safety at Work Regulations 1999. What
would you put in your notes? (10)

1.4 Selection, Monitoring and Management of Contractors
Selection of and Controlling Contractors
Pre-selection of Contractors
▪ The contractor’s health and safety policy and safety management system.
▪ Competence of the contractor’s source of health and safety advice.
▪ Competence of workforce.
▪ Whether the contractor’s risk assessments are suitable and sufficient
▪ Details of how the contractor ensures control of sub-contractors.
▪ Experience of similar work.
▪ References.
▪ Recent accident and ill-health records.
▪ Enforcement history.
▪ Insurance details.
Ongoing Management of Contractors

▪ Nominated person from employer and contractor to act as main liaison points.
▪ Pre-commencement meeting.
▪ Site induction detailing hazards and risks on site.
▪ Briefing on emergency procedures.
▪ Control of access to the work area.
▪ Confirmation of where contractors may and may not go.
▪ Regular meetings.
▪ Regular inspections.
▪ System for reporting issues.
▪ Allocation of storage areas.
Planning and Coordination of Contracted Work: Five Steps
Step 1: Planning
▪ Define the job.
▪ Identify hazards.
▪ Assess risks.
▪ Eliminate and reduce the risks.
▪ Specify health and safety conditions.
▪ Discuss with contractor (if selected).
Step 2: Choosing a contractor

▪ What safety and technical competence is needed?
▪ Ask questions
▪ Get evidence
▪ Go through information about the job and the site, including site rules
▪ Ask for a safety method statement
▪ Decide whether subcontracting is acceptable. If so, how will health and safety be ensured?
Step 3: Contractors working on site
▪ Name a site contact
▪ Control contractor access
▪ Reinforce health and safety information and site rules
▪ Check the job and allow work to begin.
Step 4: Keeping a check

▪ Assess the degree of contact needed
▪ How is the job going?
▪ Is the contractor working safely and as agreed?
▪ Any incidents?
▪ Any changes in personnel?
▪ Are any special arrangements required?
Step 5: Reviewing the work

▪ Review the job and contractor
▪ How effective was your planning?
▪ How did the contractor perform?
▪ How did the job go?
▪ Record the lessons.
Construction (Design and Management) Regulations
The Construction (Design and Management) Regulations only apply to projects involving
construction work. There are five duty holders and five documents specifically mentioned in the
regulations they are:
Duty holders and Their Roles.
▪ Client – the person/company who initiates the work.

▪ Designer – any person/company that makes design decisions.
▪ Principal Designer – the designer appointed to be in control of overall design.
▪ Contractor – any/person/company that undertakes construction work.
▪ Principal Contractor – the contractor appointed to be in control of overall construction.
▪ (Domestic client – duties transfer to others).
Documents
▪ Client Arrangements – the client’s plan for the project

▪ Pre-construction Information – information needed by designers and contractors to plan and
manage their work.
▪ Construction Phase Plan – a plan for managing H&S on site.
▪ Health and Safety File – information about the structures that were built or modified.
▪ F10 – a form notifying the HSE of a construction project.

Not all duty holders or all documents are required for all projects. The key factor that influences
whether they are required is whether there are likely to be two or more contractors involved in the
project.
The table below sets out the impact that having two or more contractors will have:
Only 1 contractor on the project 2 or more contractors on the project

Client Client
Designers Designers
- Principal Designer
Contractor Contractors
- Principal Contractor
Client Arrangements Client Arrangements
Pre-construction Information Pre-construction Information
Construction Phase Plan Construction Phase Plan
- Health and Safety File
Duties of the Client
▪ Make suitable arrangements for managing H&S on the project.

▪ If more than one contractor, appoint a principal designer in writing.
▪ If more than one contractor, appoint a principal contractor in writing.
▪ If the project is notifiable, notify the HSE.
▪ Ensure the notification is displayed.
▪ Ensure adequate welfare facilities.
▪ Ensure the principal designer prepares a health and safety file.
▪ Make the health and safety file available and update it.
▪ Ensure a construction phase plan is in place before construction starts.
▪ Ensure the principal designer and principal contractor are compliant.
Common or General Duties
▪ Designers and contractors must not accept engagement unless they have skills, knowledge,
experience and organisational capability.
▪ Cannot engage any designer or contractor unless they have the skills, knowledge, experience
and organisational capability.
▪ Ensure information is comprehensible and provided promptly.
▪ Cooperate with others involved in the project.
▪ Bring health and safety threats to the attention of others.
Principal Designer Duties
▪ Plan, manage, monitor and coordinate H&S in the pre-construction phase.

▪ Eliminate or reduce risks for construction, maintenance, cleaning and use.
▪ Take account of the principles of prevention and relevant information.
▪ Ensure designers comply with their duties, everyone cooperates.
▪ Assist the client to provide pre-construction information.
▪ Liaise with the principal contractor and share information.
▪ Prepare the health and safety file, keep it up to date and pass it on to the client.
Designer Duties
▪ Not work unless the client is aware of their duties.

▪ Apply the principles of prevention when preparing designs.
▪ Eliminate risks or reduce risks through design for construction, maintenance, cleaning and
use of the structures.
▪ Provide information to the principal designer and others on residual risks.
▪ Provide information for the health and safety file.
Principal Contractor Duties
▪ Plan, manage, monitor and coordinate H&S on site.

▪ Take account of the principles of prevention.
▪ Ensure cooperation between contractors.
▪ Ensure compliance by others on site.
▪ Prepare a construction phase plan, update, review, revise.
▪ Ensure site induction.
▪ Ensure welfare facilities.
▪ Prevent unauthorised access to the site.
▪ Liaise with the principal designer.
▪ Consult with workers and provide information on request.
Contractor Duties
▪ Not work unless the client is aware of their duties.

▪ Plan, manage and monitor their work or work under their control.
▪ Prepare the construction phase plan, apply principles of prevention (if 1 contractor).
▪ Comply with the directions of the principal contractor (if more than 1 contractor).
▪ Comply with the construction phase plan.
▪ Provide information for the health and safety file.
▪ Provide information, instruction and supervision.
▪ Prevent unauthorised access.
▪ Ensure welfare facilities.
▪ Workers to have skills, knowledge, training and experience.
Duties of Workers
▪ Ensure their own health and safety (HSWA)

▪ Ensure the H&S of others affected by acts or omissions (HSWA)
▪ Not misuse anything provided for their H&S (HSWA)
▪ Report unsafe acts, conditions or shortcomings (CDM/MHSWR)
▪ Use equipment in the way they were trained (MHSWR, PUWER)
▪ Keep work areas clean and tidy (HSWA implied)
▪ Wear appropriate PPE (HSPPEAWR)
Notification
▪ The client must notify the HSE as soon as practicable - https://form.hse.gov.uk/f10

▪ The client must update the notification and ensure the notification is displayed on site.
• A project is notifiable if the construction work on a construction site is scheduled to—

• (a) last longer than 30 working days and have more than 20 workers working
simultaneously at any point in the project; or
• (b) exceed 500 person days.
▪ Notifiability does not trigger any other duties.
Pre-construction Information
▪ The project brief

▪ Key dates for the project
▪ Existing hazards, such as:
• Asbestos, lead, contaminated ground
• Existing structures – construction, structural condition
• Adjacent land use
▪ Client preferences
• Rules for work on client premises, permits
• Where to park, space for storage and cabins, access
• Welfare
• How the project will be managed – meetings, document management.
Construction Phase Plan
▪ Purpose – to set out arrangements to manage health and safety on site

▪ The team responsible for managing H&S on site
▪ Health and safety goals for the construction phase
▪ Process to receive and review risk assessments and method statements
▪ Process for achieving cooperation and coordination
▪ Process for induction
▪ Emergency arrangements
▪ Management of welfare facilities
▪ Site rules
▪ How to consult with the workforce
▪ Strategy for managing key risks
Health and Safety File
This will become the pre-construction information for the next project.
▪ Brief description of the work carried out
▪ Hazardous materials that could be released during refurbishment
▪ Information on how to remove plant or equipment safely

▪ Information on how to clean the structure safely
▪ The nature and location of significant services
▪ Key structural principles and safe working loads
▪ Residual hazards that could not be dealt with.

1 Download HSE publication L153 from the HSE website. Read the
definition of ‘construction work’, ‘designer’, ‘contractor’ and
‘structure’. .https://www.hse.gov.uk/pubns/books/l153.htm
2 Research articles on whether CDM applies to maintenance work.
Include the publication published by the water industry on this
subject. https://www.water.org.uk/guidance/construction-design-and-
management/
3 Read the section on domestic clients in L153 pages 85 and 86.
3 In L153 browse through the headings of regulations 16 to 35.
Consider why these headings are included here.
4 Download a copy of the Workplace (Health, Safety and Welfare)
Regulations. Read clause 3 to understand where those regulations
do not apply.
5 Compare the requirements of the Workplace (Health, Safety and
Welfare Regulations in regulations 20 – 25 to Schedule 2 of CDM.
6 Look at HSE document CIS 80 as a template for a simple
construction phase plan.
You are working as the facilities manager for a haulage company. The main haulage yard lighting
needs replacing as many of the luminaires have failed and the company has approved replacing with
LED units which will reduce energy consumption. The luminaires are attached to posts across the
yard at a height to approximately 10 metres (32 feet) and will be replaced during working hours when
the yard is being used by vehicles. You have put the contract out to tender with several local
electrical companies.
1. What would you check to confirm that the electrical company selected is competent to complete
the work safely? (10)
2. You are planning to complete a site induction with the contractors when they start work. What
information would you include within the induction? (5)

Element 2 – How health and safety management systems work and what
they look like
able to:
Work within a health 2.1 Give an overview of the elements of a health and OBE
and safety 2.2 safety management system and the benefits of
management having a formal/certified system
system, recognising Discuss the main ingredients of health and safety
what effective general management systems that make it effective –
policy, organisation general policy, organisation, arrangements
and arrangements
should look like
2.1 What they are and the benefits they bring

The Basics of a Health and Safety Management System
HSE publication HSG65 sets out guidance on how to put in place suitable arrangements to manage
safety. The guidance relies heavily on a ‘Plan, Do, Check, Act’ approach.
• Policy • Risk Profiling

• Planning • Organising
• Implement
plans
Plan Do
Act Check
• Review • Measure
Performance Performance
• Learn lessons • Incident
Investigation
Plan
▪ Think about where you are now and where you need to be
▪ Write down your policy and your plan to deliver it:
• What you want to achieve?
• Who will be responsible for what?
• How will you achieve your aims?

• How will you measure your success.?
▪ Decide how you will measure performance
▪ Consider fire and other emergencies – include cooperation and coordination with others
▪ Plan for changes
▪ Identify specific legal requirements that apply to you.
Do
▪ Identify your risk profile
• Assess risks – what harm, who and how, controls
• Decide what the priorities are and identify the biggest risks
▪ Organise your activities to deliver your plan
• Involve workers and communicate – develop positive attitudes and behaviours
• Provide adequate resources including competent advice
▪ Implement your plan
• Decide on preventive and protective measures, put them in place
• Provide the right tools and equipment, maintain them
• Train and instruct to ensure everyone is competent for their role
• Supervise to make sure arrangements are followed.
Check
▪ Measure your performance

• Make sure your plan has been implemented
• Assess how well risks are being controlled
• Are you achieving your aims?
• Formal audits may be useful
▪ Investigate the causes of accidents, incidents or near misses.
Act
▪ Review your performance

• Learn from accidents and incidents
• Learn from ill-health data
• Learn from errors and relevant experience
• Learn from other organisations
• Revisit and update plans, policy documents and risk assessments
▪ Take action on lessons learned, including from audit and inspection reports.
ISO 45001
The International Organisation for Standardization (ISO) developed ISO 45001 as a formal
standard for an OH&S management system. The standard is based on the ‘Plan, Do, Check Act’
approach used in HSG65 but incorporates this approach into a new framework.
The key sections (known as clauses) for ISO 45001 are:

4 Context of the organisation.
• Understanding the organisation, needs and expectations.
• The scope and structure of the OH&S management system
5 Leadership and worker participation
• Leadership, commitment, OHS policy, roles & responsibilities.
• Consultation and participation of workers.
6 Planning
• Actions to address risks and opportunities, OH&S objectives.
7 Support
• Resources, competence, awareness, communication, documentation.
8 Operation
• Operational planning and control, emergency preparedness
9 Performance Evaluation
• Monitoring, measurement, analysis, performance evaluation.
• Internal audit, management review.
10 Improvement
• Incidents, nonconformity and corrective action, continual improvement.
The Benefits of Having a Formal / Certified Health and Safety Management System
▪ It demonstrates senior management commitment.

▪ It provides a framework for legal compliance.
▪ It provides clear roles and responsibilities.
▪ It ensures a consistent approach across the organisation.
▪ It ensures that foreseeable risks are managed.
▪ It can provide a competitive edge – fewer errors, less waste.
▪ It can reduce cost – lower insurance premiums.
▪ It can improve worker morale – confidence in a commitment to high standards of H&S.
▪ It can generate evidence to challenge claims and enforcement action.

1 Download HSE publication HSG65 from the HSE website. Read
through parts 1 and 2 the guidance document. What does the
guidance say about volume of paperwork and focusing on formal
documentation? What role does leadership play?
https://www.hse.gov.uk/pubns/books/hsg65.htm
You have recently joined a UK-based company which manufactures engineering equipment for
clients across Europe and the Middle East. The company has already been certified to ISO 9001 and
ISO 14001 standards, as part of an integrated management system and is currently considering
implementing ISO 45001: 2018. The company has an existing compliance team comprised of a Lead
Auditor and two Internal Auditors. You have experience implementing ISO 45001 at a previous
organisation and have been asked to give a presentation outlining the benefits to the organisation of
becoming certified against this standard.
1. Based on the scenario, what are the likely benefits of the company also adopting and being
certified to ISO 45001? (10)
2. At present the company is loosely following the Plan, Do, Check, Act stages from HSG65.
Indicate which of the following clauses and sub-clauses taken from ISO 45001: 2018 belong to
which of the 4 stages. (5)
• Continual improvement
• Hazard identification and assessment of risks and opportunities
• Management of change
• Leadership and commitment
• Internal audit programme
3. What will the organisation need to consider as part of Leadership and worker participation from
ISO 45001: 2018 to ensure that the implementation of the standard is effective? (5)

2.2 What Good Health and Safety Management Systems Look Like
Section 2(3) of the Health and Safety at Work etc. Act 1974 requires employers to prepare a health
and safety policy. The policy must be communicated to employees and revised as appropriate.
Where there are five or more employees the policy must be in writing.
A healthy and safety policy will typically have three sections:

• Statement of General Policy.
• Organisation.
• Arrangements.
The way in which the health and safety policy is made available should reflect the different ways in
which employees access information.
Statement of General Policy/Statement of Intent
A statement of general policy should:

▪ Set out the overall aims of the organisation in terms of health and safety performance
▪ The overall aims can be translated into overall objectives and quantifiable targets
• Specific, Measurable, Achievable, Relevant, Timebound (SMART)
▪ Be proportionate to the needs of the organisation
▪ Consider financial, operational and business requirements
▪ Be signed by top management
▪ Be used to influence decisions important to the organisation.
Organisation – Defined Health and Safety Roles and Responsibilities
The purpose of this section is to define health and safety roles and responsibilities within the
organisation. Headings for those roles could include:
▪ Chief Executive Officer
▪ Health and Safety Director
▪ Managing Director / Directors
▪ Department Managers
▪ Health and Safety Manager
▪ Quality Manager
▪ Health and Safety Advisors
▪ Supervisors
▪ Representatives of Employee Safety
▪ First Aiders and Fire Marshals
▪ Employees
The Organisation section of the policy should also set out the following:
▪ Allocation of responsibilities
▪ Lines of communication
▪ Feedback loops
▪ The role of line managers in;
• Implementing and influencing health and safety management systems.
• Monitoring the effectiveness of the health and safety management system.

Effective organisation
▪ The roles should reflect the actual company structure.

▪ All employees should be able to identify with one role.
▪ The responsibilities should match those in job descriptions.
▪ Performance appraisals should measure against H&S responsibilities.
▪ Roles and responsibilities should be updated to remain current.
▪ H&S responsibilities should be communicated during induction and role change.
Practical Arrangements for Making it Work
Regulation 5 of the Management of Health and Safety at Work Regulations requires employers to make
and give effect to arrangements for the effective planning, organisation, control, monitoring and
review of preventive and protective measures. The arrangements should reflect the nature of the
organisation’s activities and the size of the undertaking. Those arrangements must be written if
there are five or more employees.
As a minimum, the arrangements should address the following:

▪ Each stage of the Plan, Do, Check, Act cycle.
▪ Each of the relevant requirements in the MHSWR, such as:
• Risk assessment, competent H&S advice, information, instruction, training,
supervision, emergency arrangements, young persons, pregnant women.
▪ Safe workplace arrangements, such as:
• Heat, light, ventilation, cleaning, welfare etc.
▪ Each H&S regulation relevant to the hazards that could affect the organisation, such as:
• Asbestos, confined spaces, work equipment, electricity, noise.
Keeping it Current
The health and safety policy must be kept up to date to ensure that it remains relevant to the
organisation’s operations. It may need to be reviewed and updated in response to:
▪ The passage of time – the accumulation of gradual, incremental changes.
▪ Technological advances – accessibility of information remotely, AI.
▪ Organisational changes – new department, new location, new activities.
▪ Legal changes – regulations, ACoPs, HSE guidance.
▪ The results of monitoring which identify issues – audit, inspection, accidents, ill-health,
objectives.
These can be organised into internal and external influences that trigger a policy review:
Internal influences
▪ Change of organisational structure.
▪ Change of premises.
▪ Change of process.
▪ Internal accident investigation.
▪ As a result of internal monitoring.
▪ As a result of a risk assessment.

External influences
▪ Legislation / ACoP / guidance.
▪ Enforcement action.
▪ Advice from insurance company.
▪ External accident investigation.
▪ Manufacturer’s information.
▪ Audit from an external body.
Unit 2.2 Self-study activities Completed

✓
1 Explore the Small Business section of the HSE website.
https://www.hse.gov.uk/simple-health-safety/
Explore the information behind each of the headings on this page. Follow
through the link to writing a health and safety policy and review the simple
example provided.
2 Locate the health and safety policy for your organisation. Identify the
statement of general policy/intent, the section on organisation and how the
arrangements section is organised.
3 Locate a health and safety policy for a different organisation (with permission)
and compare it to the one for your organisation. Understand why they are
different.

You have recently joined a large manufacturing company which produces paint products as a Health
and Safety Advisor working in the Health and Safety Team. As part of your onboarding you are
reviewing the company’s health and safety policy which was last updated and signed by the CEO 9
months ago. The policy statement outlines the overall aims of the organisation with regards to health
and safety performance which includes clear and detailed targets to increase near-miss reporting,
reduce accident rates and ensure a minimum of 3% of the company’s annual turnover is invested in
managing safety. Year to date the company is on target to reduce accident rates and exceed a 3%
investment in safety, however near-miss reporting is below target. The policy clearly defines health
and safety responsibilities, with line managers having defined duties to promote safety amongst
workers, as well as specific roles such as safety representatives, fire marshals and first aiders in
addition to wider general duties of all workers. During your first weeks at the company you shadow a
colleague who has been a Health and Safety Advisor there for several years. You attend weekly
departmental meetings during which department heads and line managers discuss productivity and
quality performance followed by safety performance, results are positive with few recent incidents
reported. Attending the monthly safety committee meeting several representatives raise concerns
that some health and safety training is overdue for production operatives and highlight a number of
safety issues related to slippery flooring in the main production area that have been reported to them
by colleagues for the last few months. You also work on shift with production operatives, many speak
positively about the work environment and that all colleagues support safe working, but some did
express frustration that nothing gets done to address issues unless it is raised via a safety
representative and very little is discussed in team meetings other than production targets. Speaking
to line managers and supervisors it is clear that their focus is to maintain production rates and quality
with day to day safety and supervision left to safety representatives and employees.
1. Based on the scenario, comment on how effectively the company’s policy is in supporting safety
management? (10)
2. You recommend that the company puts in place additional meetings to improve communication
and consultation with employees on safety. What meetings could be used to improve safety
consultation in this workplace? (5)

Element 3 – Managing Risk – Understanding People and Processes
able to:
Positively influence 3.1 Describe the concept of health and safety culture OBE
health and safety 3.2 and how it influences performance
culture and behaviour 3.3 Summarise how health and safety culture at work
to improve can be improved
performance in their Summarise the human factors which positively or
organisation negatively influence behaviour at work in a way
that can affect health and safety
* 3.4 Explain the principles of the risk assessment OBE
process Practical
Recognise workplace 3.5 Discuss typical workplace changes that have OBE
changes that have significant health and safety impacts and ways to
significant health minimise those impacts
and safety impacts
and effective ways to
minimise those
impacts
Develop basic safe 3.6-3.8 Describe what to consider when developing and OBE
systems of work implementing a safe system of work for general
(including taking activities
account of typical Explain the role, function and operation of a
emergencies) and permit-to-work system
knowing when to use Discuss typical emergency procedures (including
permit-to-work training and testing) and how to decide what level
systems for special of first aid is needed in the workplace
risks
3.1 Health and Safety Culture

According to the HSE Advisory Committee on the Safety of Nuclear Installations (ACNSI), the Health
and Safety Culture of an organisation can be defined as:
“The product of individual and group values, attitudes, perceptions, competencies, and patterns
of behaviour that determine the commitment to, and the style and proficiency of, an organisation’s
health and safety management.”
Put more simply, it could be expressed as:
The way we do things around here.

or
The way that people in this organisation behave with regard to health and safety when they think
no-one is watching.
Relationship Between Health and Safety Culture and Health and Safety Performance

Major incidents including the nuclear reactor accident at Chernobyl, the fire at Kings Cross station, the
fire and explosion at Piper Alpha and the train crash at Clapham Junction highlighted the role that
organisational policies and procedures contribute to accidents. Following the Kings Cross fire, the
judge stated that “...a cultural change in management is required throughout the organisation.”
Similarly, the Piper Alpha enquiry stated “...it is essential to create a corporate atmosphere or culture in
which safety is understood to be and is accepted as, the number one priority”. Studies suggest that a
large proportion of accidents, incidents and near miss occurrences follow from the unsafe acts that are
the result of underlying deficiencies in safety management.
Evidence suggests that having a positive health and safety culture is linked with better safety
performance. Similarly, positive employee attitudes to and perceptions of safety are associated with
better individual safety performance, health and wellbeing.
The health and safety culture of an organisation can impact:

▪ Awareness and understanding of health and safety rules and standards.
▪ The likelihood of employees complying with the rules and standards.
▪ The likelihood of poor decision making that leads to unsafe working.
▪ Decisions made by management – resources, strategy, priorities.
▪ The example set by senior management.
▪ The speed of response to health and safety threats.
What Influences Health and Safety Culture?

▪ Management commitment & leadership style.
▪ Good communication at all levels.
▪ Active employee participation.
▪ Training and competence at all levels.
▪ Compliance with procedures.
▪ Organisational learning.
Indicators of an Organisation’s Health and Safety Culture
▪ Number of accidents or incidents.

▪ Incidences of ill-health.
▪ Sickness and absenteeism rates.
▪ Complaints about working conditions.
▪ Staff retention rates.
▪ Level of senior management commitment and visibility
▪ Level of consultation and worker engagement
▪ The amount of workplace and equipment inspections.
▪ Compliance with health and safety rules and procedures.
▪ The completion of health and safety training.
▪ Completion of actions arising from monitoring activities.

Influence of peers on health and safety culture
Our peers at work are the people we work with and are usually the employees at our same level of
authority. Most individuals are influenced by their peers because they want their peers to think well
of them. They also want to belong to the peer group. This can lead to adopting similar attitudes,
values and behaviours to fit in. This allows individuals to be welcomed into the peer group and to
maintain their position within the group. Some peers will actively try to influence other peers to behave
similarly to the way they behave themselves and this can lead to a degree of conformity within a peer
group. Peer pressure can be used to good or bad effect.
Positive peer group pressure:

▪ Taking health and safety seriously.
▪ Adherence to rules.
▪ Looking out for others and alerting them when they work unsafely.
▪ Praise and recognition for safe working and rejecting unsafe situations.
Negative peer group pressure:

▪ Criticism for choosing safety over productivity.
▪ Routine cutting of corners and rule breaking.
▪ Paying lip-service to health and safety initiatives followed by private criticism.
▪ Threat of exclusion for non-conformity with the group norms.

1 Download and read the IOSH report on the relationship between
safety culture, advice and performance.
https://iosh.com/media/1548/safety-culture-advice-and-performance-
summary-report.pdf
2 Download the document from the HSE website via the link below.
Read the document paying close attention to the question set used
to gain insight into the health and safety culture of an organisation.
https://www.hse.gov.uk/humanfactors/topics/common4.pdf

3.2 Improving Health and Safety Culture
Gaining the Commitment of Management
Gaining the commitment of senior management to high standards of health and safety is essential to
creating a positive health and safety culture. Failure to do so will undermine efforts to improve health
and safety performance and will lead to decisions that prioritise other businesses pressures over health
and safety. Successful businesses give health and safety equal importance with other factors.
(Suggested example below).
Health and safety given equal priority
Business Excellence
Financial Governance
Technical Capability
Customer Service
Health and Safety
Production
Effective Management Systems
How to Gain Management Commitment
▪ Highlight how commitment in other areas of the business has led to improvements.
▪ Use case studies to show the benefits to business.
▪ Look at current H&S issues and identify possible cost, quality and production benefits.
▪ Encourage health and safety training for senior management to raise awareness.
▪ Present senior management with solutions rather than problems.
▪ Develop an ally in senior management.
Promoting health and safety standards by leadership and example and appropriate
use of disciplinary measures
Managers can promote health and safety standards by:

▪ Using the correct PPE when required by a situation.
▪ Following the health and safety rules (phone use, walkways)
▪ Attending health and safety training.
▪ Making health and safety an important factor in making decisions.
▪ Recognising that some delay or disruption is necessary for H&S reasons.
▪ Promoting the H&S message in briefings and presentations.
▪ Involvement in incident investigation and risk assessment.
▪ Visible and frequent safety tours and safety conversations.
▪ Providing support for health and safety initiatives.
It is a widely held belief that between 70 – 80% of accidents are caused by human error. The
problem with this simplification is that we rarely ask why the human error occurred. This failure
can often lead to what is known as a ‘blame culture’ where front line workers are blamed as the
only cause of an accident when, in fact, their behaviour was influenced by factors such as the
organisation’s health and safety culture, work pressures, poor working conditions, complexity or a lack
of information, instruction training or supervision. These factors are controlled by the organisation, not
by the individual.
The response should be a ‘just culture’ or ‘fair blame’ culture. This exists where the causes of
unsafe acts are investigated to identify the contribution of the organisation alongside the
individual. Where the investigation reveals error rather than violation, the focus should be to remove
the conditions that allowed the error to occur or to have the impact that it did. Where violations are
revealed, a proportionate disciplinary response is required in line with the company’s defined
processes.
Some disciplinary processes cause friction because of a lack of clarity and common understanding.
Many companies create a set of ‘golden rules’ or ‘top ten rules’ using a process similar to the one
shown below:
▪ List the existing health and safety rules within the organisation.
▪ Management to identify the 10 rules that would give them the biggest problem should they
be broken.
▪ A selection of employees is given the complete list of health and safety rules.
▪ The employees select the 10 rules they believe are potentially the most important to
wellbeing of individuals and the company.
▪ Where there is agreement – those rules can be set.
▪ Review the rules where there is disagreement and either:
• Adjust the rules.
• Improve training to raise awareness of the importance of some rules.
▪ Where there is agreement on non-essential rules, examine if they are necessary.
Competent Workers
Competence is the combination of training, skills, experience and knowledge that a person has
and their ability to apply them to perform a task safely. Other factors such as attitude and physical
ability can also affect someone’s competence. Competence should be proportionate to a person’s job
and place of work.
Why some people are incompetent.

▪ A new job – no training or experience yet.
▪ A recent promotion or move – no preparation for the new role.
▪ Placed in a role beyond their ability for competence.
▪ Inertia – their role and technology have moved on, they have not.

The impact of incompetence.
▪ Poor risk perception.
▪ Poor decision making – incorrect, limited or out of date information.
▪ Risk taking – to compensate for inabilities.
▪ Inaction – afraid to make decisions to perform tasks.
How to manage competence.

▪ Define the competencies required for jobs and tasks
▪ Assess the competence that individuals have at all levels
▪ Prepare competence development plans to close gaps
▪ Make provision for all persons to develop competence in a controlled manner
▪ Provide sufficient supervision and support while competence develops
▪ Ensure individuals know the limits of their competence
▪ Review and refresh competencies;
• With time
• With changes to roles, equipment or methods of work
• If poor health and safety behaviour develops.
Good Communication Within the Organisation
Benefits and Limitations of Different Methods of Communication

There are three categories for the communication: Verbal, Written and Graphic.
Verbal Communication can include:

▪ Face-to-face informal conversation.
▪ One to many formal presentation – briefing, seminar.
▪ Many to many – meetings.
▪ Telephone conversation.
▪ Video platform (Zoom, MS Teams)
▪ One to many via speaker or PA system.
The Benefits of verbal communication are:

▪ Two-way.
▪ Confirmation of understanding.
▪ Rapid feedback and questions.
▪ Progressive (confirm, next item).
▪ Often the quickest method.
▪ Can include body language.
▪ Includes tone.
The Limitations of verbal communication are:

▪ Noise and other distractions.
▪ Sensory impairment.
▪ Not ideal if complex information.
▪ Not ideal if high volume of information.

▪ Language / dialect of the speaker.
▪ Illogical sequence.
▪ Inattention of the receiver.
▪ Technical malfunction.
Written Communication can include:

▪ Policy documents, procedures, guidance and forms.
▪ Safe methods of work and work instructions.
▪ Permits to work.
▪ Site rules.
▪ Tender and contract information.
▪ Meeting agendas and minutes.
▪ E-mails.
▪ Text or other media messages.
The Benefits of written communication are:

▪ Can be re-read to confirm.
▪ Can be read at a suitable time.
▪ Can be read in advance.
▪ Allows for complexity.
▪ Logical progression.
▪ Share with a large audience.
▪ Retained as evidence.
▪ Add notes.
▪ Retain as a reminder.
The Limitations of written communication are:

▪ No direct feedback.
▪ No confirmation of understanding.
▪ Possible lack of structure.
▪ Irritating writing style.
▪ Poor grammar and syntax.
▪ Unfamiliar vocabulary.
▪ Lack of commitment from the reader.
Graphic communication can include:

▪ Graphs of health and safety performance.
▪ Campaign and information posters.
▪ Health and safety signs.
▪ Message boards.
▪ Induction and training videos.
▪ Drawings and sketches.
▪ Photographs.
The Benefits of Graphic communication are:

▪ Overcome language
▪ Overcome literacy ability
▪ Eye-catching
▪ Convey simple messages quickly
▪ Cover a large audience
▪ Consistent
▪ Allows accurate visualisation.
The Limitations of Graphic communications are:

▪ Can be defaced
▪ Can be removed
▪ Can be ignored
▪ Misinterpretation
▪ Sensory impairment (eyesight)
▪ Unable to visualise (drawings)
▪ Attention of the receiver
▪ Images may offend.
Use and Effectiveness of Noticeboards and Health and Safety Media
Health and Safety Noticeboards are used in most workplaces. They are seen as a useful mechanism
to communicate several items of health and safety information in one, readily accessible location. They
are a low-cost option and can, if positioned correctly, communicate information quickly to a large
audience. A noticeboard may contain:
▪ Health and safety law poster.*
▪ Health and safety policy – general policy statement.*
▪ Employers’ liability insurance certificate.*
▪ Health and safety meeting minutes.
▪ Details of employee representatives.
▪ Details of first aiders and fire marshals.
▪ Current health and safety campaigns.
▪ Information on how to access support and resources (Employee Assistance Programme)
* These items must be displayed by law.
Benefits
▪ Communicate lots of information in one place.
▪ Comply with the law by displaying statutory information.
▪ Low-cost.
▪ Quick communication.
▪ Large audience.
▪ Easy to maintain.
Limitations of health and safety noticeboards include:

▪ Ineffective due to location such as if placed away from main thoroughfares.
▪ Can be defaced.
▪ Information removed without authorisation.
▪ Not updated.
▪ Becomes ‘background’.
▪ Unofficial information added.
▪ Language barriers / literacy
Health and Safety Media
Poster Campaigns have been used for many years to convey health and safety messages. They are
relatively cheap and can suggest a commitment to health and safety to employees and visitors.
There is some concern that posters that convey negative messages may be ineffective. Therefore,
the preferred approach is to focus on the benefits of working safely.
Benefits
▪ Low cost.
▪ Visual impact.
▪ Convey brief messages quickly.
▪ Flexible, moveable.
▪ Reinforce verbal messages.
▪ Reminders.
▪ Employees can suggest topics.
Limitations
▪ Need to change frequently.
▪ Become soiled, defaced.
▪ Become out of date.
▪ Trivialise serious issues.
▪ May cause offence or distress.
▪ No feedback on understanding.
▪ Tick-box exercise.
▪ Must be targeted correctly.
Digital Media
The nature of digital media has changed rapidly in recent years. For many years it was limited to safety
videos used in an attempt to challenge and change attitudes. More recently, e-learning modules have
become popular allowing learners to learn at their own pace, at a time that suits them and the
ability to test understanding. Channels such as YouTube provide useful short video clips that can be
used to help individuals visualise concepts difficult to convey verbally or in written form. The
company intranet can be a powerful resource, especially if this allows access to company information
via the cloud when working remotely. Social media channels including Facebook and WhatsApp allow
for groups of individuals to communicate and to share information that can allow for rapid support and
sharing of lessons learned and best practice.
Each example of digital media has benefits and limitations. Their use should be considered carefully to
use the right tool for the job and to avoid alienating employees who feel incapable of accessing more
modern forms of digital media.

Co-operation and Consultation with the Workforce and Contractors
Consultation with employees is covered by the HSWA and two regulations.

▪ HSWA duties to consult.
• Section 2(4) – Trade Unions may appoint safety representatives.
• Section 2(6) – Employers must consult with TU safety representatives.
• Section 2(7) – Establish a safety committee if requested by 2 or more safety
representatives.
▪ Safety Representatives and Safety Committees Regulations, 1977.
• Where trades unions are recognised
• Safety Representatives appointed by Trades Unions.
▪ Health and Safety (Consultation with Employees) Regulations, 1996.
• Representatives of Employee Safety – elected by employees.
Safety Representatives
Their functions include:

▪ Investigate hazards and dangerous occurrences
▪ Examine the causes of accidents
▪ Investigate complaints by employees
▪ Make representations to the employer
▪ Carry out health and safety inspections
▪ Represent employees in consultation with HSE / local authority
▪ Receive information from inspectors
▪ Attend health and safety committee meetings.
Their rights include:

▪ To receive from the employer any information that is necessary to enable them to fulfil their
functions
▪ To take reasonable time off to perform their functions
▪ To attend reasonable training
▪ To make a complaint to an Employment Tribunal if the employer has failed to provide the
above.
Representatives of Employee Safety
Their functions include:

▪ Make representations to the employer on potential hazards and dangerous occurrences
▪ Make representations to the employer on general matters of health and safety
▪ To represent the employees in workplace consultations with enforcing authority inspectors.
Their rights include:

▪ To be consulted on matters of health and safety
▪ To receive from the employer any information that is necessary to enable them to fulfil their
functions
▪ To take reasonable time off to perform their functions
▪ To attend reasonable training.
The Benefits of Worker Participation
▪ The employer gains a wider, more accurate view of:

• Health and safety threats in the workplace
• The effectiveness of control measures
▪ Generation of employee-led control measures
▪ Gaining value from worker experience and knowledge
▪ Improved worker acceptance of improvements where they have been involved
▪ Demonstration of management commitment to employees – valued
▪ An increase in employee motivation and satisfaction
▪ Develops shared values
▪ Improved trust through transparency and recognising faults
The Role of Health and Safety Committees
Objectives of Health and Safety Committees may include:

▪ Promotion of cooperation on safety, health and welfare matters
▪ A forum for discussion, ideas and suggestions to the employer
▪ To promote and support reporting of H&S issues.
Functions
▪ Review measures to ensure health and safety
▪ Review accident and ill health trends
▪ Examine H&S audit reports
▪ Review reports from enforcing authority or employee representatives
▪ Help to develop rules, safe systems of work, procedures
▪ Consider the effectiveness of training and communication
▪ Consider changes in legislation, technology, organisation.
Benefits
▪ Demonstrates senior management commitment
▪ Provides a forum for discussing health and safety issues
▪ Easier than consulting with the whole workforce
▪ Demonstrates legal compliance (consultation).
Ensuring the Effectiveness of Health and Safety Committees

▪ Suitable frequency for the matters discussed and risks
▪ Commitment from all parties (management and workforce)
▪ Regular scheduled meetings with no cancellations
▪ Balanced representation between management and workforce
▪ Clear agenda circulated in advance / shared with the workforce
▪ Relevant topics for discussion
▪ Effective chairperson
▪ All parties to co-operate and be non-confrontational
▪ Access to H&S expertise
▪ Minutes circulated promptly with clear actions and timescales.

When Training is Needed
▪ Induction.
- On joining a new company.
- On moving to a different location/building/department.
▪ Job change.
▪ Process or procedure change.
▪ New technology.
▪ Change in legislation.
▪ Deterioration in performance/ability to recall.
Key Health and Safety Topics in Induction Training

▪ Health and safety policy.
▪ Workplace hazards and control measures.
▪ Health and safety signs.
▪ Location-specific training.
▪ Role-specific training.
▪ Welfare facilities.
▪ PPE – provision, limitations, use and maintenance.
▪ Fire and emergency procedures.
▪ First aid procedures and facilities.
▪ Incident reporting.
▪ Employee participation.
Specific Health and Safety Training
▪ Safe systems of work – theory and practice.

▪ Equipment training
- Forklift truck.
- HGV.
- Cartridge-operated tools.
- Rescue equipment – tripod winch.
▪ PPE training – breathing apparatus.
▪ Fire training – fire marshal, use of extinguishers.
▪ First aid training – full or emergency.
▪ Workplace inspections and risk assessments.
Benefits of Good Health and Safety Training
▪ Improved awareness of hazards and controls.

▪ Reduced chance of injury or ill-health.
▪ Satisfies legal obligations.
▪ Personal development for those being trained.
▪ Achieves consistent understanding.
▪ Improves decision making.
▪ Enables employee progression and mobility to new roles.
▪ Can cause a change in attitudes and behaviour.
Ensuring Effective Training
Factors to consider include:

▪ Establish clear learning outcomes.
▪ Consider appropriate teaching and learning strategies.
▪ Understand the learners – prior knowledge, skills, experience, relevance, motivation.
▪ Time for training – time available, one session or many, other commitments.
▪ Trainer requirements – knowledge, skills, experience, familiarity.
▪ Training materials and resources, room location and layout.
▪ Evaluation of effectiveness.

1 Download HSE and IoD publication – Leading health and safety at
work. Read the essential principles on page 1 and the case studies.
https://www.hse.gov.uk/pubns/indg417.pdf
2 Download HSE guidance document HSG263 – Involving your
workforce in health and safety. Read pages 8 and 9 paying close
attention to the diagram on page 9. Further on, identify a situation
when you do not have to have either a Safety representative or a
ROES.
https://www.hse.gov.uk/pubns/priced/hsg263.pdf
3 Read through the HSE guidance on Health and Safety Committees.
https://www.hse.gov.uk/involvement/hscommittees.htm
4 Identify how your company achieves consultation with employees
and whether there is a H&S committee with a documented charter.
5 Research ‘Training Needs Analysis’ to understand what it is and how
it works.

You are working as a Health and Safety Advisor at a distribution warehouse. The previous evening
there was an incident in the warehouse during which 2 fork-lift trucks (FLT) collided, no injuries were
caused and the only damage were minor scrapes to the FLTs, which do not require repair. The
incident was not officially reported, but a worker not involved in the incident mentioned it to you at the
start of your day. You decide to review the warehouse CCTV footage of the incident which shows
one vehicle being driven erratically and at speed by Employee A, Employee B was sat in the other
FLT on their mobile phone, parked in an unauthorised area. You see the FLT driven by Employee A
brake and skid into the FLT parked by Employee B. After the collision Employee A is seen to confront
Employee B and push them to the floor, before being pulled away by colleagues who also help
Employee B to their feet. You phone the employees’ Team Manager who advises that they were
unaware of the incident, they mention they have spoken unofficially to both employees numerous
times in the past about their behaviour at work following unsafe acts and incidents. The Team
Manager says that both employees are good workers and they will have a quick chat with them in the
next week or so. After the call you check the disciplinary records of both employees, Employee A
was issued with a formal warning previously, following an altercation with another employee, there is
nothing on file for Employee B. You visit the warehouse are the collision occurs in and find that there
looks to be the remnants of an oil spillage where the FLT skidded. Speaking to operatives you find
out the spillage occurred several days ago, it was partially cleared up using sand but things have
been too busy for full cleaning of the area to take place.
1. What are the negative indicators of safety culture at the distribution warehouse? (5)
2. Following the incident you decide to suggest steps to improve the safety culture in the
organisation. Based on the scenario only, what steps would you suggest to improve safety
culture? (5)

3.3 How Human Factors Influence Behaviour Positively or Negatively
HSE Guidance document states ‘Human Factors refers to environmental, organisation and job
factors, and human individual characteristics which influence behaviour at work in a way which
can affect health and safety’. Studies into the causes of accidents suggest that engineering or hard
controls, while effective, still rely on human behaviour and, being human, we behave in an inconsistent
manner. Human factors are what influence the way we behave that can either reduce or increase risk.
Organisational Factors
Health and Safety Culture

▪ Shared values and attitudes that influence the way people behave.
▪ A negative culture results in rule breaking, deviation, lack of care.
▪ A positive culture results in commitment, ownership, compliance, asking questions,
receiving support.
Leadership
▪ Leadership can exist at all levels in an organisation.
▪ Poor leadership results in a lack of commitment, confusion over direction and
responsibilities, a lack of accountability, criticism and poor examples.
▪ Good leadership results in clear direction, clear responsibilities, trust, commitment at all
levels, ownership, collaboration and confidence.
Resources
▪ Resources can include funds, time, people, equipment or infrastructure.
▪ Poor resources result in fatigue, error, deliberate deviation, delayed improvement, injuries,
ill-health, damage, poor mental health.
▪ Good resources result in compliance, efficiency, accident prevention, learning lessons,
improved morale.
Work Patterns
▪ Work patterns can include shifts, repetition and breaks.
▪ Poor work patterns result in fatigue, boredom, disconnection with society, errors and lower
morale.
▪ Good work patterns result in increased alertness, better mental health, workforce flexibility
and improved morale.
Communication
▪ Communication can include all forms, visual, written and graphic.
▪ Poor communication results in confusion, misunderstanding, errors, increased accidents,
waste, reduced reporting, lower morale.
▪ Good communication results in clarity, increased awareness, asking for help, employee
participation, collaboration, reduced errors, reduced waste and improved morale.

Job Factors
Task
▪ Physically demanding task.
- Leads to physical fatigue and errors.
- Potential impact on home life.
▪ Mentally demanding task.
- Leads to mental fatigue and errors.
- Potential impact on home life.
▪ Poorly designed task
- Awkward body positions – musculoskeletal injuries.
- Excessive distances – fatigue, shortcuts.
- Incompatible task vs capability.
Workload
▪ Too low – leads to boredom, dissatisfaction, increased errors.
▪ Too high – physical or mental fatigue, poor mental health.
▪ Inconsistent – frustration and poor mental health.
Environment
▪ Insufficient space – increased errors, musculoskeletal disorders, poor mental health.
▪ Poor lighting – misreading, damage, fatigue, eye strain.
▪ Temperature – fatigue, decreased attention levels, reduced dexterity.
▪ Poor cleanliness – reduced morale, ill-health.
Display and Controls (ergonomics)

▪ Displays in the wrong position – not read, misread.
▪ Unclear displays – misread, ignored.
▪ Controls too far away – fatigue, excessive movement, frustration.
▪ Poor labelling of controls – errors, difficult to train new users.
▪ Controls too close together or illogical – select wrong control.
Procedures
▪ Missing information – incorrect assumptions.
▪ Inconsistent with normal practice or illogical – ignored, deviation.
▪ Complicated – increased errors.
Individual Factors
Competence
▪ Skills, knowledge, experience, capability, preparedness to apply.
• Incompetence – poor awareness of hazards and controls, mistakes, increased
damage, lack of confidence, risk taking.
• Competence – efficiency, ability to respond to situations, reduced accidents and
damage, knowing limits, accepting assistance.
Skills
▪ The ability to do something well, often physical tasks.
• Low skills – frustration, fatigue, mistakes, excess effort, injury.
• Highly skilled – effortless, efficient, job satisfaction, few injuries.
Personality
▪ Mental characteristics that influence values, attitudes, information processing, emotions
and motivations.
▪ Often influenced by life experience – usually consistent through life.
The OCEAN or CANOE model suggests five common personality traits. Any individual can score high
or low on each trait and this will have an impact on their behaviour. They are:
▪ Openness to Experience.
▪ Conscientiousness.
▪ Extraversion.
▪ Agreeableness
▪ Neuroticism.
Attitude – a settled way of thinking of someone or something. Recognised attitudes include:

▪ Search for fulfilment – strong sense of purpose, drive change.
▪ Respect for others – polite, professional with all persons.
▪ High achievement – ambitious goals.
▪ Infectious excitement – positive attitude, encouraging.
▪ Job commitment – sense of pride, whatever it takes, good behaviour.
▪ Risk taking – bored easily, motivated by money, change jobs.
▪ Innovation – lateral thinking, new solutions.
▪ Helpfulness – team members, good at customer service.
▪ Ladder climbing – want stability, company person.
▪ Clock punching – dissatisfied, take no action to improve.
▪ Pay check cashing – cherish the perks, won’t stick their neck out.
Risk Perception - the subjective judgement that people make about the characteristics of a risk.
▪ Influenced by:
- Cognitive ability - eyesight, hearing, touch, taste, smell
- Previous experience – positive or negative, unfamiliar.
- Familiarity – understanding, over-confidence, complacency.
- Drugs or alcohol – suppression of risk aversion.
- Fatigue – unaware, changed priorities.
- Intense concentration – unaware.
- Environment – poor light (can’t see it), noisy (can’t hear it).
- Boredom – distracted, daydreaming.
Link between Individual, Job and Organisational Factors
There are numerous examples of how one Human Factor can influence other Human Factors.
▪ One worker’s attitude to their incompetent fellow worker.
▪ Low levels of skill or competence through a lack of training resources.
▪ Clock-punching due to a failure to improve welfare and hygiene.
▪ A poor working environment stemming from poor leadership.
▪ A poor H&S culture leading to excessive workload leading to fatigue.
▪ Poor communication creates poorly designed tasks and innovation.
When conducting incident investigation, we must ask ‘Why?’ to discover the other individual, job and
organisation factors that created the situation that allowed the accident to occur.

1 Download HSE Guidance HSG48 – Reducing error and influencing
behaviour. Read the section on causes of human failure p12-p14.
2 Read an article about the Big-5 personality traits. Suggested article
below. https://www.simplypsychology.org/big-five-personality.html
You are working as a Health and Safety Advisor at a bakery which produces bread and other baked
products. The bakery operates 24/7 with workers working 12 hour shifts. The bakery has a good
health and safety record, however there have been an increasing number of incidents recently with a
lack of leadership and supervision. Over the past 6 months the bakery has employed increasing
number of temporary workers to support high production rates, who are given a basic induction when
joining, commonly these workers do not have the same first language as the permanent staff
members and there have been several disagreements between the two sets of workers. Within the
bakery there is a conical dough rounder which rolls dough into balls ready for baking. The dough
rounder features a large cone inside a circular conveyer, the cone spins driving dough around the
conveyer moulding it into shape, it is open sided allowing workers to monitor the process and provide
easy access for cleaning. Over the past 3 months the rounder has regularly jammed with dough,
stopping production whilst the machine is turned off and dough removed. Whilst most machinery has
clear signs warning employees of the dangers posed by the equipment the dough rounder does not
and there is no indicator on the machine to indicate whether it is turned on or not. A young worker
recently joined the bakery, employed on a temporary basis to support production staff cleaning the
bakery, the job is monotonous and physically demanding. The worker is known as a hard worker but
often break rules to get tasks completed more quickly due to high workloads, and blame ignoring
shouted warnings from colleagues on a hearing impediment. The worker was given the basic
induction and told by the team leader not to clean any equipment whilst it is operational. Towards the
end of a recent shift the worker noticed the conical moulder was jammed with dough and not moving,
they removed the dough manually by hand. Suddenly as the dough was removed the machine
unjammed and started moving, drawing the worker’s arm into it and fracturing their wrist.
1. Based on the scenario only, what individual human factors might have negatively influenced
the behaviour of the injured worker? (5)
2. What organisational and job factors may have negatively influenced the behaviour of the
injured worker? (5)

3.4 Assessing Risk
Meaning of Hazard, Risk, Risk Profiling and Risk Assessment
▪ Hazard – something with the potential to cause harm.

▪ Hazardous Event – an occurrence where someone or something interacts with a hazard and
harm occurs.
▪ Harm – injury, ill-health, damage to property, plant, products or the environment, production
losses or increased liabilities.
There are several possible definitions of risk, but they all share common components.
▪ Risk – a measure of the likelihood that a specified undesired event will occur due to the
realisation of a hazard by, or during, work activities or by products and services created by work
activities.
▪ Risk – a measure of the probability (likelihood) of a hazardous event occurring combined
with the severity of the harm from a hazard being realised.
▪ Risk = Likelihood x Severity
Example 1 – Compare the risks in a room with 20mg/m3 of wood dust in the air to one with 20mg/m3 of
asbestos fibres. The likelihood of breathing in a given volume of wood dust or asbestos fibres is the
same, but the severity of harm caused by asbestos fibres is far greater than that of wood dust, so the
risk from asbestos fibres is far greater.
Example 2 – Compare the risks in a room with 20mg/m3 of asbestos fibres to one with 0.02mg/m 3 of
asbestos fibres. The severity of harm is the same because it is the same substance, but the likelihood
of breathing in fibres through a much-reduced concentration in the air has reduced, thus lowering the
risk.
▪ Risk Profiling – the process for identifying the greatest issues for an organisation that informs
risk prioritisation. It is not just limited to health and safety but will consider all the threats faced
by an organisation.
▪ Risk Assessment - the process of evaluating risks to workers' safety and health from
workplace hazards. It is a systematic examination of all aspects of work that considers:
• what could cause injury or harm?
• whether the hazards could be eliminated and, if not?
• what preventive or protective measures are, or should be, in place to control the risks?
Risk Profiling
▪ Every organisation will have its own risk profile.

▪ It will typically be owned by senior management.
▪ It is the starting point for determining the greatest health and safety issues for an
organisation.
▪ The risk profile of an organisation will inform all aspects of the approach to leading and
managing its health and safety risks.
▪ The range of risks goes beyond health and safety risks to include quality, environmental
and asset damage, but issues in one area could impact in another.
▪ A risk profile examines:
• The nature and level of the threats faced by an organisation.
• The likelihood of adverse effects occurring.
• The level of disruption and costs associated with each type of risk.
• The effectiveness of controls in place to manage those risks.
▪ The outcome of risk profiling will be that the right risks have been identified and prioritised
for action.
▪ Minor risks will not have been given too much priority.
Who and What is Involved in Risk Profiling?
Leaders
▪ Identify who takes ownership of H&S risks.
▪ Think about the consequences for the organisation.
▪ Consider the effectiveness of controls to control the consequences.
▪ Ensure risk assessments are carried out by competent people.
▪ Maintain an overview of the risk profiling process.
- Aware of major risks, minor risks not given too great a priority.
▪ Identify responsibility for implementing controls and timescales.
▪ Assess the effects of changing technology.
Managers
▪ Identify the risks, prioritise them, concentrate on priority risks.
▪ Consider who might be affected, including those at greater risk.
▪ Consider existing control measures and if further controls are needed.
▪ If new controls will take time, use interim controls.
▪ Report performance regularly, record findings, review profile regularly.
▪ Consult with workers, do they understand the risk profile.
▪ Ensure the risk profile draws on knowledge of the whole organisation.
▪ Identify if specialist advice is needed to identify and analyse risks.
▪ Make sure workers are trained and have information about risks and controls.
Below is an example of what a risk profile might look like (not completed)
Risk Likelihood Impact Trend Mitigation Priority
Health and Safety H&S Policy & procedures
Hazards Risk assessments & controls,
H&S management team
Training programme
Audits and inspections
Incident
reporting/investigation
Loss of portfolio value Portfolio spread, active mgmt
Project delays and Regular reporting
cost overruns Competent managers
Building service / UPS, backup systems
system interruption Home working
Global pandemic Home working protocol

External provider Spread risk across 2 providers
failure or default for each service and product
Non-compliance with Audit programme
legislation In-house legal team
Loss of key Succession planning
individuals
Currency value Imports offset exports
change
Interest rate change Borrowing minimised
Purpose of Risk Assessment
▪ The Purpose of Risk Assessment is to provide information to enable an organisation to

manage risks to prevent or to reduce injury and ill-health in the workplace.
▪ The focus of risk assessment should be on the identification of hazards and mitigation of
risks before harm occurs.
Suitable and Sufficient
▪ Regulation 3 of MHSWR states that every employer and self-employed person shall make a
suitable and sufficient assessment of risks.
▪ HSE guidance states that suitable and sufficient means:
- A proper check was made.
- You asked who might be affected.
- You dealt with all the obvious significant risks, taking into account the number of
people who could be involved.
- The precautions are reasonable, and the remaining risk is low.
- You involved your workers or their representatives in the process.
▪ Suitable relates to how well the risk assessment is carried out.
▪ This suggests a structured or systematic approach to ensure that all the hazards identified
are considered to their conclusion.
▪ Sufficient suggests the breadth of risk assessment to ensure that all significant hazards
associated with a task or area have been considered.
▪ When we look beyond a task or location, sufficient suggests that all tasks, areas, equipment
and substances controlled by the organisation should be included in one or more of their risk
assessments.
▪ Sufficient also suggests that the level of detail is proportionate to the risks.
One core aspect of the quality of a risk assessment is the competence of the person(s) carrying it out.
Competence in this respect suggests:
▪ Knowledge and understanding of what is being assessed.
▪ Experience in the risk assessment process.
▪ Understanding of relevant hazards and controls.
▪ Sufficient knowledge of or access to relevant H&S legislation.
▪ Ability to use a systematic approach.
▪ Ability to communicate findings accurately and concisely.
▪ Awareness of their own limitations and the need to involve others.
A General Approach to Risk Assessment (5-Steps)
HSE publication INDG 163 suggests a 5-step approach to risk assessment.

1. Identify the hazards
2. Decide who might be harmed and how
3. Evaluate the risks and decide on precautions
4. Record your findings and implement them
5. Review your assessment and update if necessary
Step 1 – Identify the Hazards
The Source of Harm refers to where the hazard originates. The sources could include:
▪ People – they may be aggressive or carry infection.
▪ Equipment – they may have moving parts, hot surfaces, loud noise.
▪ Materials – they may be sharp, corrosive, or inhalable.
▪ Environment – it may be cold, have poor lighting or be cramped.
▪ Systems/situations – they may cause undue pressure or affect mental health.
The Form of Harm may refer to the nature of the hazard and how it is presented. Forms of harm could
be organised into groups such as:
▪ Physical – the harmful properties of an object (sharp, slippery, heavy).
▪ Mechanical – the way in which two or more components move that could cause physical injury.
▪ Chemical – the chemical properties of a substance that can cause harm to health.
▪ Biological – viruses, bacteria, fungi or parasites that can cause ill-health.
▪ Environmental – the ergonomic interface, temperature, radiation.
▪ Organisational – shift work, work pressure, interpersonal relationships.
Sources of Information
▪ Health and safety legislation.
▪ Approved Codes of Practice.
▪ HSE Guidance.
▪ Industry standards and guidance.
▪ Manufacturers’ information.
- Operation and maintenance manuals.
- Safety data sheets.
▪ Incident and ill-health data (internal and external).
▪ Task analysis.
Task Analysis
▪ It can be performed before a task or after a task has been performed for some time.
▪ It involves breaking a task down, that involves risk, down into discreet steps.
▪ Then, for each step, the possible significant hazards are identified.
▪ Then, existing or proposed control measures can be identified.
An example of task analysis.

Task: Using a stepladder to change a lamp at ceiling level
Sequence of Steps Potential Significant Hazards Hazard Control Method
Step Description Step Description Step Description
No. No. No.
1. Carry the stepladder to 1. Ladder carried a long- 1. Manual handling
the work location distance causing MSD. training.
Can stop and rest.
1. Moving ladder in 1. Work undertaken
corridor – strike another outside working
person. hours.
2. Erect the ladder at the
work location.
3. Ascend the ladder 3 Work at height – falling. 3 Ladder inspection.
3 Training in the safe
use of ladders.
4. Remove the 4. Live circuit – electric 3. Power can be
damaged/faulty lamp shock. isolated.
4. Broken glass – cuts. 4. Cut 3 gloves.
5. Descend the ladder
Step 2 – Decide who might be harmed and how

▪ Your employees
- Individuals performing the task (operators).
- Other workers in the vicinity.
- Maintenance workers.
- Cleaners.
▪ Non-employees.
- Contractors.
- Visitors.
- Members of the Public.
▪ Vulnerable persons.
- Young Persons (dealt with later).
- Pregnant or nursing mothers (dealt with later).
- Elderly.
- Physical disability.
- Sensory disability.
- Lower mental capacity.
- Those with poor mental health.
- Impaired immunity.
- Those with allergies.
Step 3 – Evaluate the risks and decide on precautions
▪ The purpose of risk evaluation is to determine whether you have reduced the level of risk as
low as reasonably practicable or whether you need to do more.

▪ It is worth noting that on many occasions we cannot eliminate risk or it is not reasonably
practicable to do so.
▪ Also note that risk evaluation is not the same as risk estimation. Risk estimation is a tool that
can help, but is not essential to, risk evaluation.
▪ When you evaluate risk, you should consider:
• The effectiveness of any existing control measures.
• The likelihood of harm and probable severity.
• Possible acute and chronic effects.
• Risk rating (estimation).
• HSE guidance and industry standards (SFARP)
▪ When determining the effectiveness of existing control measures, you should consider:
• Is the control measure actually used or in place?
• Are employees aware of the control, measure and its limitations?
• Is the control measure used or deployed as intended?
• Has the control measure been cleaned or maintained to remain effective?
• Is the control measure circumvented by behaviour?
• Do the results of monitoring and health surveillance suggest that the control
measures are effective?
• Are there occasions when the control measure cannot be used?
• Is the correct form of control measure being used?
▪ Likelihood is the probability that a hazardous event will occur and that particular harm will
result.
▪ The likelihood of a hazardous event occurring is affected by:
- The competence of those involved.
- Levels and quality of supervision.
- Attitudes of workers and supervisors.
- The condition of work equipment and protective devices or equipment.
- Environmental factors – adverse weather, lighting levels.
- Work pressures – fatigue, stress.
- Risk perception.
- Concentration or prevalence of the hazard.
▪ Severity is the probable outcome of the hazardous event which could be death, major injury,
minor injury, ill-health, damage or other loss.
▪ It is important to consider the most probable outcome, not all possible outcomes because we
should focus on what is reasonably foreseeable.
▪ Severity can be influenced by:
- The nature of the hazard (high voltage vs low voltage).
- The susceptibility of the person affected.
- The duration and frequency of exposure.
- Environmental conditions – very cold, wet (conductivity).
- The availability of emergency response.
When we consider the probable severity, we need to consider both the short-term and long-term
effects.
▪ Acute effects – those effects experienced over a short period of time.
- Burns, blistering, irritation, cuts.
▪ Chronic effects – those effects that may last for an extended period of time.
- Organ damage, long-term disability, stress, hearing loss.
Risk rating is a tool used by some to estimate risk.

▪ Where there are numerous risks and limited resources with which to mitigate then, risk rating
can be useful when deciding on priorities.
▪ One drawback of using risk ratings is that the process of risk estimation can be highly
subjective.
▪ The simplest form of risk rating is to assign a high, medium or low rating.
▪ A more structured approach uses numbers to estimate likelihood and severity and to multiply
them together to give a quantitative risk rating.
▪ High risk industries, such as nuclear, use actual data of failure frequencies for key components
to calculate risk.
▪ The most common risk rating method uses a 5 x 5 matrix.
One suggestion for the scoring for a 5 x 5 risk matrix:
The General Principles of Prevention
▪ Regulation 4 of the Management of Health and Safety at Work Regulations states:

▪ 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.
▪ Think of the principles of prevention as a list of possible strategies for managing risk.
▪ For some hazards, some of the principles will be impracticable, while others might prove more
effective.
▪ By considering strategies listed in the General Principles of Prevention, the employer should be
able to identify one or more possible solutions that they might otherwise have identified.

The General Principles of Prevention are:
a) Avoiding risks.
b) Evaluating the risks which cannot be avoided.
c) Combating the risks at source.
d) Adapting the work to the individual, especially as regards the design of workplaces, 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.
e) Adapting to technical progress.
f) Replacing the dangerous by the non-dangerous or the less dangerous.
g) 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.
h) Giving collective protective measures priority over individual protective measures.
i) Giving appropriate instructions to employees.
Hierarchy of Control
The Hierarchy of Control listed in ISO45001 (clause 8.2) suggests a hierarchical approach to follow
when deciding which control measure(s) to apply.
▪ Eliminate the hazard.

▪ Substitute with less hazardous process, operations,
materials or equipment.
▪ Use engineering controls and reorganisation of
work.
▪ Use administrative controls, including training.
▪ Use adequate personal protective equipment.
Elimination of Hazards - examples

▪ Avoid work at height by
- Using long-reach tools.
- Lowering equipment to ground level.
▪ Avoid welding by using bolted connections.
▪ Avoid vehicle collisions by creating pedestrian-only areas.
▪ Avoid manual handling through use of automation.
Substitute with the less hazardous - examples

▪ Use a breaker with a lower vibration rating.
▪ Use a compressor with a lower noise rating.
▪ Use a water-based paint rather than solvent-based paint.
▪ Use a wheelbarrow instead of carrying objects in the arms.
▪ Use 110V CTE power tools instead of 230V.
Engineering Controls - examples

▪ Fixed guard fitted to a conveyor.
▪ Interlocking guard on a microwave oven.
▪ Adjustable guard on a pillar drill.
▪ Moving guard on a hand-held circular saw.
▪ Local Exhaust Ventilation.
▪ Pedestrian barriers.
Administrative Controls - examples

▪ Health and safety training.
▪ Competent people.
▪ Supervision.
▪ Safe systems of work.
▪ Reduce the number of people exposed.
▪ Reduce the duration and frequency of exposure.
▪ Pre-use checks.
▪ Warning signs and information.
Personal Protective Equipment - examples

▪ Head protection.
▪ Eye and face protection.
▪ Gloves and gauntlets.
▪ Foot protection.
▪ Overalls, body suits and aprons.
▪ Respiratory protective equipment and breathing apparatus.
▪ Wet or cold weather clothing.
▪ Lifejackets.
▪ Harness and lanyards.
▪ High visibility clothing.
Overriding principle
▪ The principle behind the hierarchy of controls is that the controls lower down the hierarchy
rely on human behaviour more than those at the top.
▪ The greater the reliance on human behaviour, the more likely the control measure is to fail.
▪ Therefore, choose control measures at the top of the hierarchy in preference to those at the
bottom.
▪ Better still, if the hazard cannot be eliminated, employ control measures at every level in the
hierarchy to use a layered approach to protection.
Risk Prioritisation
▪ Logic dictates that the most serious risks should be targeted for risk reduction as a priority
over less serious risks.
▪ Prioritisation may influence the amount of time, effort, financial and other resources
directed to reduce the risk.
▪ There is also a possible link between the level of risk and the control measures selected using
the hierarchy of control with more robust control measures being used to address the
greatest risks.
▪ If the more robust risk control measures may take some time to implement, interim controls
may be needed to reduce risk in the short term.
Use of Guidance and Legislation
▪ How do you know if you have reduced risk as low as reasonably practicable?
▪ One method is to refer to and compare your control measures with those recommended by the
HSE.
- Approved Codes of Practice
- HSE Guidance
▪ You can then either do the same as indicated or apply further controls.
▪ Some legislation sets out specific standards for selecting control measures such as the
COSHH principles of good control practice.
▪ Other legislation, and its associated guidance, sets out specific direction on how to assess risk
and select control measures, such as the Manual Handling Operations Regulations.
Applying Controls to Specified Hazards
▪ Imagine a hand-held grinder – what hazards could be involved?

- Heavy grinder – manual handling.
- Electrical power supply – possible damaged cable.
- High noise levels.
- High vibration levels.
- Grinding dust.
- Sparks.
- Rotating disc.
- Disc shattering.
▪ Each hazard must be identified separately with suitable controls chosen for each one.
▪ Some hazards come with specific guidance on how they should be managed.
▪ Noise
- 80dB(A) – hearing protection provided and take action to reduce risk.
- 85dB(A) – hearing protection mandatory, health surveillance.
- 87dB(A) – must not be exceeded.
▪ Vibration
- 2.5m/s2 – take action to reduce vibration risk, health surveillance.
- 5.0m/s2 – must not be exceeded.
Residual Risk, Acceptable/Tolerable Risk Levels
▪ Residual Risk is the level of risk that remains after control measures have been selected.
▪ For example – the risk of falling from height may be reduced by using a scissor lift, but there is
still a remote chance that the scissor lift could overturn.
▪ Acceptable Risk is the level of risk that is accepted by society for a given situation.

▪ The level of acceptable risk changes over time e.g. blood alcohol levels.
▪ Tolerable Risk is just short of acceptable risk but is a level of risk that can be tolerated for a
short period while organising more robust control measures.
Distinction Between Priorities and Timescales
▪ Reducing a risk may have a high priority but it may take a long time for the new control
measure to be implemented.
▪ It may be necessary to put in place interim controls to achieve a lesser reduction in risk until
the more robust measures are in place.
▪ Conversely, just because a situation is considered low risk, it does not mean that it should be
left until last to address.
▪ If it is reasonably practicable to reduce low-level risk with a quick, low-cost solution, then it
should be done.
Step 4 – Record your findings and implement them
▪ Employers with 5 or more employees must record the significant findings of their risk
assessments.
▪ The record may be in hardcopy form or electronic. It must be retrievable.
▪ Good practice for what the record should include is:
- The task or location being assessed.
- The significant hazards.
- How people might be harmed by them.
- Control measures.
- Date of the risk assessment and latest review date.
- Details of the person(s) carrying out the risk assessment.
Step 5 – Review your assessment and update if necessary
Reasons for Review of a risk assessment include:

▪ Internal monitoring.
- Incident investigation, consultation with workers, inspection reports, internal audit
reports suggests there are issues with current risk management.
▪ Internal changes.
- Change in process, work methods, materials, equipment, personnel, layout.
▪ External changes.
- Changes in legislation or enforcement policy, research findings, enforcement action,
third party H&S audits, insurer requirements, client requirements.
-
Application of Specific Risk Assessment for Specific Types of Risk and Special Cases
Some legislation requires a specific form of risk assessment beyond the general requirement set
out in Regulation 3 of MHSWR. They include:
▪ Regulatory Reform (Fire Safety) Order - Fire risk assessment.
▪ Health and Safety (Display Screen Equipment) Regulations.
▪ Manual Handling Operations Regulations.
▪ Control of Substances Hazardous to Health Regulations.
▪ Control of Noise at Work Regulations.
▪ Control of Vibration at Work Regulations.
▪ Work at Height Regulations.
▪ Personal Protective Equipment Regulations.
Why Specific Risk Assessments are Used
▪ Some situations or hazards are potentially complicated or the risk is influenced by several,
predictable factors.
▪ Where this is the case, the HSE provides direction, beyond the need for general risk
assessment, on the factors to be considered.
▪ For example, fire risk assessment must consider fuel, ignition sources, sources of oxygen,
means of detection & warning, fire spread, means of escape and means of fighting fire.
▪ Manual handling risk assessment must consider the task, individual, load and environment as
well as other factors such as the PPE worn.
▪ Providing a more structured approach allows for proper, systematic consideration of all relevant
issues that contribute to the risk.
Special Case Applications
Young Persons
▪ Why do young persons warrant special case risk assessment?

- Inexperience, lack of familiarity with the work environment.
- Poor risk perception, risk taking.
- Limited physical or psychological capability.
- More susceptible to peer pressure.
- Lack of understanding of boundaries or limitations.
- Shorter attention span (mobile phone reliance).
- Keen to impress.
▪ Regulation 19 of MHSWR requires a risk assessment for young persons at work and
states that young persons must not be employed for:
- Work beyond their physical or psychological capacity.
- Work involving toxic, carcinogenic or mutagenic agents.
- Work involving harmful exposure to radiation.
- Work where inattention to safety or lack of experience or training would result in not
recognising the risk of accidents.
- Work where there is a risk of extreme cold or heat, noise or vibration.
▪ Unless they are no longer a child, the work is necessary for their training, they will be
supervised by a competent person and risk will be reduced to as low as reasonably
practicable.
Expectant and Nursing Mothers
▪ Why do they warrant special case risk assessment?

- Increased levels of fatigue.

- Restricted physical flexibility and reduced stability.
- Discomfort and back pain from standing or sitting for too long.
- Mutagenic response to lead and pesticides.
- Agents that affect the embryo including ionising radiation.
- Greater stress on the body during extremes of heat or cold.
- The inability to wear some items of PPE.
▪ Regulations 16 – 18 of MHSWR requires consideration of the impact on pregnant or nursing
mothers from workplace risks.
▪ If the risks cannot be avoided, employers should alter the conditions or hours of work.
▪ If that is not reasonable or it would not avoid risk, the employer should suspend the worker (on
full pay).
▪ These provisions apply to risks that exist beyond those that would normally be experienced
outside the workplace.
▪ If a medical practitioner certifies, a new or expectant mother shall be suspended from working
at night.
▪ Some requirements depend on the worker informing the employer of their condition.
Disabled Workers
▪ Why do they warrant special case risk assessment?

- Reduced risk perception (sight, hearing)
- Reduced mobility.
- Learning disability – unable to respond correctly.
- The effect on others when trying to assist during emergencies.
- Greater impact from injury or illness.
▪ It is important to involve the individual in their risk assessment because they understand their
abilities best.
▪ Note the need for reasonable adjustment for disability. (Equality Act)
Lone Workers
▪ Note that lone working is not a hazard in itself.

▪ Why do lone workers warrant special case risk assessment?
- Unable to administer many forms of first aid.
- Unable to request help if incapacitated.
- More prone to attack or abuse.
- Increase in poor mental health from isolation.
- Reduced supervision and monitoring – deviation.
▪ Consider suitable forms of remote monitoring, awareness of their movements and regular
contact.

1 Research risk profiling. Review at least two different sources and examples.
2 Research task analysis. Review at least two different sources and examples.
3 Download and read HSE publication indg163 – Risk assessment: a brief guide.
4 Download HSE guidance document CIS64 – Excavations and CIS-78
Construction Dust to identify reasonably practicable control measures.
https://www.hse.gov.uk/pubns/cis64.pdf
5 Research the COSHH principles of good control practice.
https://www.hse.gov.uk/coshh/detail/goodpractice.htm
6 Download HSE guidance L23. Read the appendix which explains the process for manual
handling risk assessment.
https://www.hse.gov.uk/pubns/priced/l23.pdf
7 Download the quick start guide on the Equality Act 2010 from the government website.
Explore the definition of disability and the concept of reasonable adjustment.
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/85011/disability.pdf

You are working as the Health and Safety Advisor at a large supermarket and are reviewing the
company’s risk assessments. The supermarket employs 60 workers in the supermarket itself, as well
as a further 20 workers in the adjoining warehouse where stock arrives. The supermarket is open 24
hours a day to the public and also organises online orders for Internet shoppers. Online orders are
collected at 4am each morning by a group of self-employed drivers using the supermarket’s vehicles
from the warehouse and deliver the orders to the customers’ homes. The 60 supermarket workers
are divided into 3 teams across ranging shift patterns based on how busy the supermarket is at
different times:
• 20 Checkout Workers – work 4-8hr shifts on tills processing customers’ purchases in-store. The
majority of checkout workers are aged 60+ and work part-time.
• 40 Shelf Stockers and Order Collectors – work 4-8hr shifts, mainly overnight, re-stocking shelves
with products from the warehouse and collecting online orders from the shelves and transferring
them to the warehouse. The majority of shelf stockers are young persons working part-time.
• 20 Warehouse Operatives – work 12hr shifts (days or nights), transfer bulk deliveries from lorries
to the warehouse in preparation for shelf stocking and organise the online orders in the
warehouse for collection by delivery drivers
1. Based on the scenario only, what are the main types of people that should be considered
within the workplace risk assessment? (5)
2. Recently there have been several reports of delivery drivers driving erratically in company
vehicles and last month a driver was stopped by the police as none of the outside lights on
their vehicle were working. You have reviewed the risk assessment for delivery drivers and
realised that the supermarket performs no regular checks on the drivers or vehicles and no
follow up actions have been completed with drivers following incidents. What administrative
controls would you recommend are put in place to reduce the level of risk posed by the
supermarket’s deliveries? (5)
3. Using the risk assessment matrix below, show how the level of risk posed by a vehicle
significantly changes if none of its outside lights are working. (5)
Likelihood
Unlikely (1) Likely (2) Very likely (3)
Fatal injury (3) Medium High High
Severity
First-aid / hospital
Low Medium High
care injury (2)
Minor injury (1) Low Low Medium

3.5 Management of Change
Typical Types of Change in the workplace include:
▪ Construction works.
▪ Change of process.
▪ Change of equipment.
▪ Change in working practices.
The Impact of these changes are:

Construction Works
▪ Increase in vehicle movements and change in vehicle type.
▪ Additional workers not familiar with the workplace.
▪ Compromise structural integrity and weatherproofing.
▪ Material storage and introduction of hazardous materials.
▪ Increase in fire risk – hot works and fuel.
▪ Change access and egress routes, including emergency escape.
▪ Temporary relocation of company operations and employees.
▪ Generation of construction dust.
▪ Generation of waste.
▪ Generation of noise.
Change of Process / Equipment

▪ Introduction of new chemicals.
▪ Introduction of new heat sources and fuel.
▪ Change in footprint and surrounding walkways.
▪ Different access for operation and maintenance.
▪ Increase or reduction in noise levels.
▪ Increase or reduction in explosivity risk.
▪ New maintenance tools and techniques.
▪ New method of operation.
▪ Different airborne contaminants.
▪ New emergency response
Change in Working Practices

▪ Increase or decrease in the number of workers.
▪ Different sequence of tasks.
▪ Relocate parts, materials and tools.
▪ New techniques or tools.
▪ Introduction of new employees.
▪ Change to shift patterns or working hours.
▪ Reliance on third parties if outsourcing.
Managing the Impact of Change
The management of change can be organised into four stages.
1. Getting Organised
▪ Understand the need for the change and the objectives.
▪ Consult with those who will be affected – Cooperation.
▪ Define the change.
▪ Review and challenge the change.
▪ Plan the change (alongside risk assessment).
- Appointment of Competent People to tasks.
- Arrange training.
- Communicate the planned change.
- Plan changes to emergency procedures.
2. Risk Assessment
▪ Identify the people involved.

▪ Identify all the significant changes.
▪ Assess the risks from the changes.
▪ Consider human factors, competence and workload.
▪ Select suitable controls to mitigate the risks.
▪ Test scenarios.
3. Implementing and Monitoring
▪ Provide enough resources to implement the change safely.

▪ Segregation of work areas.
▪ Welfare provision during the change.
▪ Amendment to emergency procedures.
▪ Monitor risks during the change.
▪ Keep the plan under review and track actions.
▪ Communication and Cooperation during the change.
▪ Monitor performance after the change.
4. Review of Change
▪ Did the change achieve the objectives?

▪ Has the change introduced previously unforeseen risks?
▪ Did the change go to plan?
- If not, why?
- What can we learn for the next change?
▪ How did internal / external parties perform?
- Health and safety.
- Quality, programme, contract.
- Are the revised emergency procedures suitable?

1 Research at least two articles on the management of change.
2 Read HSE publication on the management of organisation change.
https://www.hse.gov.uk/humanfactors/topics/specific3.pdf
3 Apply the principles learned in this module to one minor change at work,
or if that is not practicable, at home.
You are working as the Health and Safety Manager at a large garden centre which sells horticulture
products to the public. The nursery building used to propagate and grow plants is no longer fit for
purpose, management have therefore arranged for the building to be demolished and a new nursery
to be constructed in its place. It is expected that the demolition and construction will take 6 months to
complete, during which period there will be disruption to normal operations. All of the workers who
normally work in the nursery will be seconded to other roles across the company during the
construction period. The garden centre will need to source more stock from external partners over
the next 12 months, with a significant increase in deliveries using lorries which will occur at any time
of the day. With significant construction work occurring on site part of the garden centre will be
segregated so that employees and members of the public cannot access the construction site, whilst
part of the car park will be cordoned off for use by the construction companies involved.
1. You have been asked by management to prepare a presentation for a board meeting to
provide an overview of the potential impact the construction project may have. What would
you recommend management should consider in preparing the organisation, employees and
other stakeholders during the construction project? (10)

3.6 Safe Systems of Work for general Activities
What is a Safe System of Work?
▪ Section 2(2) of the Health and Safety at Work etc. Act requires employers to provide systems
of work that are safe and without risks to health.
▪ A safe system of work is often defined as the integration of:
- People
- Equipment and
- Materials in the correct
- Environment to ensure health and safety.
Why workers should be involved when developing a safe system of work
▪ Employees should be consulted whenever there is a change that affects their health and
safety.
▪ They will identify hazards that those not directly involved in the task might otherwise miss.
▪ They may be able to identify control measures to mitigate risks.
▪ They will know which control measures are realistic and reliable and which aren’t.
▪ They will know the equipment required, available and how many people are needed.
▪ They may be able to phrase the safe system of work in a way that is easier to understand and
follow.
▪ If they are involved, they are more likely to feel a sense of ownership and to follow it.
Why procedures should be recorded or written down
▪ Complex procedures – improves understanding, ability to refer back to them.

▪ High-risk – important to define the procedure clearly.
▪ It allows for them to be communicated accurately as a part of training or briefings.
▪ It allows for supervisors to monitor performance against them.
▪ It allows for them being shared with interested parties such as clients or principal
contractors for construction activities.
▪ It allows for their review and revision as part of risk assessment review.
The difference between Technical, Procedural and Behavioural Controls
Technical Controls
▪ Equipment – the right tool for the job, guarding, barriers, maintenance.
▪ Access/egress – storage locations, space for vehicles and pedestrians, stairs or slopes,
security.
▪ Materials – the right substance or material for the job, handles or packaging to improve
handling.
▪ Environment – lighting, temperature, extract systems, air quality.
▪ PPE – the correct specification for the task.
Procedural Controls

▪ Policy and standards.
▪ Health and safety rules.
▪ Procedures.
▪ Authorisation and coordination of actions.
▪ Purchasing controls – limit what can be purchased, specification.
▪ Emergency preparedness.
▪ Procedures in the issue, use and maintenance of PPE.
Behavioural Controls
▪ Competence of the individuals involved.
▪ Awareness, knowledge, skills required.
▪ Effective communication.
▪ Supervision – quality and frequency.
▪ Health surveillance.
▪ Training or briefings.
▪ Levels of care.
Developing a Safe System of Work
▪ The process of developing a safe system of work can be organised into five steps:
1. Analysing tasks,
2. Identifying hazards and assessing risks.
3. Introducing controls and formulating procedures.
4. Instruction and training into how to use the system.
5. Monitoring the system
Analysing Tasks
▪ Job analysis
- Considering the work of a group of employees.
- All employees working in a commercial kitchen.
- All forklift truck drivers.
- Identifying all the activities involved in their role.
▪ Task Analysis
- Focus on one particular task (more detailed than job analysis).
- Break the task into incremental steps.
- Understand what happens at each step.
Identifying hazards
▪ Consider hazard groups – physical, mechanical, chemical, biological, environmental,

organisational.
▪ Consult with the employees involved.
▪ Refer to internal and external information sources.

Assessing Risks
▪ Take into account existing controls.

▪ Consider their effectiveness.
▪ Consider who could be affected and how.
▪ Consider the competence and capabilities of the people involved.
Introducing Controls and Formulating Procedures
▪ Ensure that each hazard has at least one corresponding control measure.
▪ Generate ideas for control measures using the principles of prevention.
▪ Select the most reliable, practicable solutions using the hierarchy of control.
▪ Organise the controls into a logical, step by step procedure.
▪ Provide diagrams and pictures to aid clarity.
▪ Obtain agreement with the end users.
Instruction and Training in How to Use the System
▪ Ensure the individuals involved have completed the required training:

- Work at height, MEWP operator, FLT driver.
- First aid, emergency rescue, fire extinguisher use.
- Asbestos awareness, manual handling techniques.
▪ Supervisors to study the SSoW in depth.
▪ Brief the SSoW to the workforce.
- Overview of the whole SSoW.
- Daily task briefings – elements of the SSoW for the day.
- Use pictures, diagrams, videos where they add value.
- Confirm understanding.
Monitoring the System
▪ Initial (prework check)

- Does the existing situation allow for the SSoW to be used?
- Do we have the people and the equipment required?
- Are the existing working conditions safe?
▪ During the work (inspection)
- Are the technical controls in place to the correct standard?
- Are the procedural controls being followed?
- Are workers behaving appropriately?
▪ After the work (audit)
- A review of the documentary evidence proving the SSoW was followed.
- A review of the SSoW to learn lessons and improve.

1 Obtain a copy of two safe systems of work or method statements from
your workplace or from another company (with permission). Review
them against the standards in the course notes above. Do they contain
sufficient detail to allow a competent person to follow them correctly?
You are working for a construction company who are contracted by a city council to install electric
charging points for vehicles across the city over the next 3 years. This type of work is completely new
to the company, previously most of their projects involved the renovation of office buildings which all
employees are highly experienced and competent in. Before the contract was awarded a general risk
assessment was completed, along with a safe system of work for the task. The documents were
produced by an external health and safety consultant without the involvement of the company or
employees. The risk assessment and safe system of work were not reviewed following the awarding
of the contract and during the first 3 months of the project there have been numerous near-misses
reported by engineers and construction workers, as well as several accidents. The most recent
accident resulted in an experienced worker being electrocuted when the jackhammer used to break
up concrete hit utility cables buried under a pavement, the worker whilst startled was not seriously
injured. An investigation of the accident revealed that the safe system of work was not actually held
by the construction company, as such the worker had never seen it and had not considered whether
there were underground services beneath the pavement as previous activities they undertook were
very different.
1. Why should workers have been involved in the risk assessment process and development of a
safe system of work? (5)
2. Why should the construction company have a recorded copy of the safe system of work? (5)

3.7 Permit to Work Systems
Meaning of a Permit to Work System
HSE guidance states that:

▪ A Permit to Work is a formal, written, safe system of work to control potentially hazardous
activities.
▪ The permit details the work to be done and the precautions to be taken (for instance, they
may involve limiting the movement of overhead cranes, the precautions needed for high voltage
work or they might detail rescue arrangements for certain types of work).
▪ A permit to work should not be applied to every task because this would reduce the impact
and importance for the occasions when it is needed.
Why Permit to Work Systems are Used
▪ Permit to Work systems are used to control high-risk situations.

▪ High-risk situations may be predictable in that they happen regularly but are recognised as
potentially having a potentially significant adverse effect on personnel, plant or the
environment.
▪ High-risk situations may occur because they are unknown, such as one-off tasks where there is
limited previous experience of the hazards and controls.
▪ Use of a permit to work does not, in itself, make an activity safe.
▪ Their correct use provides an extra layer of protection to ensure that sufficient time and care
has been taken to plan, manage and to coordinate the high-risk activity.
▪ A permit to work also informs other parties on site of the activity to allow for coordination of
health and safety controls.
How Permit to Work Systems are Used
▪ Identify the need for a particular permit type.

▪ Identify competent people to issue and to receive the permit.
▪ Issuer to complete the permit form – hazards, controls, isolations, limitations, timing.
▪ Any required isolations to be applied and recorded.
▪ Check the work location, equipment, personnel and proposed safe system of work satisfy
the permit conditions – agree with the Receiver.
▪ Sign the permit on (Issuer & Receiver) and brief the workers.
▪ Display a copy centrally (control room) and on the job.
▪ Check central permits before starting any work in the area.
▪ Shift handover, suspend or sign off as complete (Receiver & Issuer)
When to use a Permit to Work System
There are two levels of permit to work commonly in use.

▪ General permit to work used to control:
- Non-production work – repair, construction, significant maintenance.
- Non-routine operations.

- Jobs requiring coordination between 2 or more groups.
- Jobs with a transfer of work and responsibilities between groups.
▪ Hazard-specific permit to work.
- Where a specific hazard exists and needs to have pre-determined controls applied to
reduce risk.
▪ Hazard-specific permits include those for:
- Hot work (grinding, welding, burning)
- Breaking into contained systems or pressure vessels.
- Entry into High voltage rooms, work on electrical systems.
- Entry into and work within confined spaces.
- Work with explosives or radioactive sources.
- Work in wells, involving diving.
- Pressure testing.
- Roof work and other high-risk work at height.
- Work that affects evacuation, escape or rescue systems.

1 Read the HSE guidance on permits to work.
https://www.hse.gov.uk/safemaintenance/permits.htm
https://www.hse.gov.uk/humanfactors/topics/ptw.htm
2 Obtain a copy of a permit to work procedure and the associated form(s)
from your company or from another company (with permission). Review
them to understand how they could be used to control risk.
3 Download HSE Guidance HSG250 – Guidance on permit to work
systems. Read at least 5 of the case studies to understand the reason
for permits to work.
https://www.hse.gov.uk/pUbns/priced/hsg250.pdf
You are working as a Health and Safety Advisor at a waste treatment plant. The plant has 12 sewage
storage tanks which are interconnected, the sewage within each storage tank produces methane
which is transferred and collected in a separate pressurised gas storage tank and used as a biofuel
to power the plant. Each month one of the sewage storage tanks is temporarily disconnected from
the others and emptied so that it can be cleaned and inspected internally. The tank is then entered
by cleaners who clean any residual sewage before being inspected by engineers who check for
issues such as corrosion and conduct any required repairs.
1. Why should a permit-to-work system be used to manage the cleaning and inspection of the
sewage storage tanks? (5)
2. What other tasks might the engineers at the waste treatment plant undertake which require a
permit-to-work? (5)

3.8 Emergency Procedures
Why Emergency Procedures Need to be Developed
▪ Regulation 8 of the MHSWR requires employers to develop procedures for serious and
imminent danger and for danger areas.
▪ Regulation 5 requires the development of arrangements to manage health and safety.
▪ Planning and developing emergency plans can reveal previously unforeseen hazards and
allow controls to be identified and provided.
▪ Employers cannot rely on employees to respond correctly in emergency situations. They
need clear, documented guidance.
▪ It shows commitment to worker safety in all situations.
▪ Having emergency procedures in place reminds employees of the possibility that the
emergency could arise.
Typical Emergency Situations
▪ Fire and explosion.

▪ Injury and ill-health condition.
▪ Flood.
▪ Loss of power.
▪ Release of liquid.
▪ Release of gas or vapours.
▪ Fall from height and suspension.
▪ Partial or full collapse of a structure.
▪ Dangerous pressure or temperature in process equipment.
▪ Trapped person (confined space).
▪ Bomb threat, terrorism threat.
What to Include in an Emergency Procedure
An emergency procedure should consider the following topics:

▪ Defining the emergency.
▪ Raising the alarm.
▪ Hazards.
▪ Emergency response
- People.
- Equipment.
- Materials.
- Emergency Services.
▪ Dealing with the media.
▪ Returning to normal.
▪ Testing the procedure.
Defining the Emergency

▪ Your organisation will have more than one emergency to manage. You need to define which
emergency the procedure relates to.
▪ Set clear parameters for the emergency including:
- The nature of the emergency (fire, flood, injury).
- The scale of the emergency (minor injury, bin fire, loss of 200 litres).
- The location of the emergency (on or off-site, which confined space).
- Time restrictions (normal working hours, out of hours)
- Who is involved (employees, contractors, public)?
- Providing answers to these questions may trigger the need for separate procedures.
Raising the Alarm and Initiating the Response

▪ The first step in any emergency is detection. His could be detection by people or a form of
automation that monitors conditions (smoke, gas).
▪ If relying on people to detect an emergency, they need a mechanism to initiate the
emergency process. This could be a manual call point or a phone number to call.
▪ There should be an acknowledgement that the emergency response has been initiated either
with an audible or visual alarm or through a verbal response on the phone.
▪ The alert, when it is given, should mean something to individuals assigned to respond. They
should be able to differentiate between different alert types (fire – evacuate or chlorine gas –
stay inside).
▪ Then, people need to respond and building systems should be programmed to respond
(HVAC systems, sprinkler pumps)
Hazards
▪ The emergency response procedure should identify and communicate the hazards to all
those affected.
▪ This applies to the hazards created by the emergency.
- Fire, smoke.
- Potential for collapse.
▪ It also applies to the hazards created by responding to the emergency.
- Manual handling of patients and fire extinguishers.
- Use of high-pressure water hoses.
- Work at height – rescue after a fall.
Emergency Response – People

▪ The emergency response procedure should consider:
- Who will be in control of the emergency response?
- How many people will be needed to achieve an effective response?
- What skills, training, experience or capability will they need?
- Where do they need to be during the emergency?
- What about shifts, out of hours, holidays or absence?
- What specific tasks need to be assigned to individuals?
- What should everyone else do?
Emergency Response – Equipment and Materials

▪ The emergency response procedure should consider:
- Personal protective equipment by the responders.
- Do employees need to be fitted for the PPE (Breathing Apparatus)?
- What equipment is required for isolation or to gain access?
- What rescue equipment is required?
- Where can we contain any removed/waste material?
- What equipment is needed to tackle the emergency? (Fire extinguishers, water, first aid
equipment, neutralising agent)
- What materials are required for containment? (Spill kits)
Emergency Response – Emergency services

▪ The emergency response plan should consider:
- Under what circumstances would the emergency services not be contacted?
- Under what circumstances would they be contacted?
- How would we contact them?
- Who would contact them?
- Would we know what to say when contacting them?
- What do we communicate back to the company after contact?
- Who will meet them on arrival and direct them?
- How can we ensure access close to the site of the emergency?
Dealing with the Media

▪ Members of the Press will typically only be interested in major incidents.
▪ One person should be nominated to deal with the media and this should be communicated to
all employees.
▪ The nominated person should be trained and/or experienced in dealing with the media.
▪ They should be prepared with facts and have written notes to refer to.
▪ Where possible, it is better to provide a written brief to ensure that facts are communicated
accurately.
▪ They should tell the truth and, if unsure of an answer, state that they will try to get an answer.
▪ Don’t forget to communicate honestly and accurately with employees who may be tempted
to comment on social media.
Returning to Normal
▪ Many emergency procedures stop prematurely and don’t consider the process of returning
to ‘normal’.
▪ If people have evacuated, consider how to control their return to avoid injury.
▪ If there is damage, consider how to prevent access to it.
▪ If individuals have experienced traumatic events, consider the need for support and the impact
on their state of mind in the short and medium-term.
▪ If equipment or materials were used, do they need to be replaced or replenished.
▪ Remember to review the emergency response to learn lessons.
Testing the Procedure

▪ The procedure should set out how the emergency procedure can be tested and who should be
involved.
- Tests can include full drills with artificial scenarios created on site.
- Tests can also be organised as desk-top exercises.
▪ The procedure should also set out a recommendation for a testing frequency.
Why People Need Training in Emergency Procedures

▪ Emergency procedures can involve the use of equipment which, if used incorrectly, could be
ineffective or worsen the situation.
▪ If risks are well managed, emergency procedures should only need to be used infrequently
and they will be unfamiliar to most employees.
▪ The emergency response may change from company to company or depending on specific
circumstances.
▪ Emergencies can create high-pressure situations where adherence to training is essential.
▪ All employees need to know what to do in the event of some emergencies.
▪ Regulation 7 of MHSWR requires employers to provide training to anyone who assists the
employer in their duties.
What to Consider When Deciding on First Aid Needs in a Workplace
▪ Shift Patterns – all shifts covered with adequate first aiders.

▪ Holidays, sickness absence, staff turnover.
▪ Number of Workers, visitors, contractors, members of the public on site.
▪ The Activities Carried Out, the likely injuries and treatment required.
▪ How many separate buildings you have and their proximity to each other?
▪ The Location of Site in relation to the nearest accident & emergency facility or paramedic
station.
▪ The nearest Automated External Defibrillator.

1 Read the HSE guidance on emergency procedures at
https://www.hse.gov.uk/toolbox/managing/emergency.htm
2 Read the emergency procedures for your company. Do they contain
sufficient detail?
3 Locate the nearest AED to your company’s premises. Determine if it is
within the recommended 200m or 2-minutes’ walk.
4 Browse the Resuscitation council’s guidance on AEDs.
https://www.resus.org.uk/library/additional-guidance/guidance-
defibrillators
5 Browse the HSE guidance on first aid at work. Compare your company’s
provision with that recommended in the guidance.
https://www.hse.gov.uk/firstaid/
You are working as a Health and Safety Advisor at a large distribution site for an online retailer and
have been asked by management to review the first-aid provision for the site. The site is located 20
miles away from the nearest town and hospital and is operational 24/7, employing over 200
warehouse workers across 4 shifts. There are 2 large warehouses on site, each of which measures
750m x 250m within which operatives process thousands of orders. As well as warehouse workers
undertaking manual handling activities to organise customer orders ready for despatch there is also a
team of cleaning operatives who clean the warehouse and welfare facilities which include toilets and
a staff canteen which serves hot meals. In additional around 30 office employees are on-site each
day, as well as delivery drivers who are transferring goods and orders to/from the site.
1. What would you consider so that first-aid needs are realistic and proportionate for workers at the
distribution site? (10)
2. You have been asked to review the emergency procedure to be followed in the event of fire at
the distribution site. What would you consider to ensure that the fire evacuation procedure at the
site is effective? (5 marks)

Element 4 – Health and Safety Monitoring and Measuring
able to:
Work within a health 2.1 Give an overview of the elements of a health and OBE
and safety 2.2 safety management system and the benefits of
management having a formal/certified system
system, recognising Discuss the main ingredients of health and safety
what effective general management systems that make it effective –
policy, organisation general policy, organisation, arrangements
and arrangements
should look like
4.1 Active and Reactive Monitoring

The Differences Between Active and Reactive Monitoring
▪ Regulation 5 MHSWR requires employers with five or more employees to record their
arrangements for the monitoring of preventive and protective measures.
▪ All organisations need to monitor their financial, quality, production and health and safety
performance to gain accurate information that informs management decisions.
▪ Monitoring falls into two categories:
- Active monitoring.
- Reactive monitoring.
Active Monitoring
▪ Active suggests ‘before the event’.
▪ It involves regular, planned observations of the workplace.
▪ The information gained provides an indication of the direction in which health and safety
performance is heading and whether objectives and standards are being met.
Reactive Monitoring
▪ Reactive suggests ‘after the event’.
▪ It involves learning from mistakes such as accidents and ill-health absence.
▪ It involves the analysis of data and relies on processes in place to collect the data.
Health and Safety Inspections
▪ Many health and safety regulations require regular inspection.

▪ The Provision and Use of Work Equipment Regulations (PUWER) Regulation 6 requires the
inspection of any work equipment that could result in danger through deterioration.
▪ The Work at Height Regulations (WAHR) require inspections of all equipment intended to
prevent or limit falls.
▪ Other regulations require a more formal form of inspection called thorough examination such as
the Lifting Operations and Lifting Equipment Regulations (LOLER).
▪ An inspection typically involves comparison of a workplace, the equipment and the behaviour
of those observed against a defined standard.
▪ A general workplace inspection will use a checklist of all relevant health and safety issues
for the area and record observations, positive and negative, against each item in the standard.
▪ A specific checklist will focus on a particular piece of work equipment such as a ladder
inspection or a forklift truck inspection.
▪ The output from a health and safety inspection will be a record of instances where the
required standard was met or not.
▪ Where standards are not met, there should be corresponding recommendations to address
shortcomings in the form of actions.
▪ This is useful for determining the effectiveness of risk control measures.
▪ Information from inspections over time can reveal whether standards are improving,
worsening or being maintained.
Sampling
▪ The purpose of sampling is to select a representative sample of equipment, areas or

individuals to provide an indication of the standard of compliance.
▪ Sampling typically takes less time than a full health safety inspection.
▪ Sampling can be used to supplement inspections where the previous inspection results
suggest good standards of compliance or to focus on perceived problem areas.
▪ Sampling will still use a checklist and generate actions, but it will probably be shorter than for
an inspection and more focused.
▪ Examples of sampling could include:
• Checking the standard of PPE of 10 construction workers on a site of 100 workers.
• Measuring the quantity of wood dust suspended in the air once every 3-months.
• Checking the condition of hand tools for one maintenance technician every month.
• Checking a selection of gangs using mobile elevating work platforms (MEWP) to check
if they know how to lower the MEWP in the event of an emergency.
Safety Tours
▪ Safety tours are normally conducted by Managers.

▪ They tend not to use checklists but can generate actions, sometimes as observation
reports.
▪ They allow management to gain first-hand experience of the general standards of
compliance in the workplace.
▪ Effective management tours will involve discussion with employees about what they are
doing, why and any feedback on hazards, controls and possible improvements.
▪ Safety tours can be one method of demonstrating management commitment.
▪ They can also be used to provide information about upcoming changes and improvements.
Frequency of Inspections
▪ The frequency of inspections will depend on several factors:

• Some are required before first use (scaffold platforms).
• Some are required at the beginning of every shift (shoring).
• Some are required every 7-days (tower for construction >2m).
• Thorough examination periods are defined (6m, 12m, 14m)
• The level of risk.
• The results of previous inspections.
Competence and Objectivity
▪ If the person conducting the inspection is not competent, they are unlikely to differentiate
between compliance and non-compliance.
▪ Anyone conducting an inspection must be competent enough for the standards in the
inspection, although checklists can help.
▪ The competence required for thorough examinations of lifting equipment, pressure vessels and
LEV must include detailed knowledge of these systems and examination techniques.
▪ Competence includes knowing your limitations.
▪ Consequently, joint inspections can be a useful way to achieve collective competence.
▪ Objectivity means adhering to the facts and not allowing prejudice to influence the findings.
The Use of Checklists
▪ Advantages
- Prior preparation and planning, quick and easy to arrange.
- Can support a consistent approach, evidence for audits.
- Sets clearly defined standards for comparison.
- Set structure for the inspection report, can be thorough.
▪ Disadvantages
- Limits the scope against which the inspection is undertaken..
- Can be used by persons who are not competent.
- Can be out of date or not relevant.
- Tick-box exercise without actually inspecting.
Allocation of Responsibilities and Priorities
▪ Identifying non-compliance does not improve the situation.

▪ Every non-compliance (or group) should have a corresponding recommendation or action.
▪ Actions should be allocated to a person responsible for addressing them. It is important to
select the correct person.
▪ Each action should be prioritised to direct the urgency with which the action is addressed.
This could be a High to Low indication or a target date for completion.
▪ Progress against actions must be tracked to ensure that all actions are closed out
satisfactorily.
Reactive Monitoring
The process of reactive monitoring can be organised into four phases:

1. Identification of an event.
2. Reporting the event.

3. Investigation of the event.
4. Collation of data and statistics on events.
The events that can be monitored include:

▪ Accidents – those resulting in lost-time or physical injury.
▪ Dangerous occurrences – damage to premises, equipment or infrastructure.
▪ Near misses – incidents with no loss that could have caused harm.
▪ Ill-health – physical or mental ill-health caused by workplace agents or factors.
▪ Complaints by the workforce – working conditions, standards of health and safety.
▪ Enforcement action – enforcement notices or prosecution.
Incident Reporting Systems

▪ Employers must have arrangements in place to report incidents as part of the ‘monitoring’
required in Regulation 5 of MHSWR.
▪ Incident reporting procedures must cover all relevant event types, including ill-health.
▪ The procedure should set out clear definitions of event types to allow the accurate
identification and collation of events.
▪ It should encourage reporting and investigation in good time.
▪ It should set out responsibility for reporting, investigation, analysis and communication of
data.
▪ It should include escalation of reporting, including under RIDDOR.
▪ It should address the need for safe storage and retrieval of data.
Accidents
▪ According to HSG245, an accident is an event that results in injury or ill-health.

▪ The most basic form of an accident report is an entry into the accident book (Social Security
(Claims and Payments) Regs).
▪ Most organisations use a more detailed form to capture further detail about the accident
including:
- Date, time, location, name of the injured person.
- Nature of the injury, location on the body, treatment given.
- Initial causes and actions.
▪ Accident reports are forwarded to a central person or department where the data can be
collated.
▪ Once data from accidents is collated, it can be organised into statistical information that can
show trends.
▪ This information can be shared with Managers and workers.
▪ Events can be organised by:
- Injury type – cut, eye injury, crush, fracture.
- Body part – hands, head, feet.
- Department – offices, warehouse, stores.
- Hazardous event – slip, trip, collision, fall, contact with object.
- Date/time – weekday, morning, afternoon, night.
- Hours lost/cost – cost of treatment, cost of lost time.
▪ One limitation of this approach is that a company with very few accidents will generate
insufficient data to generate reliable trends.
▪ Incident Frequency and Incident rates can be useful to allow comparison between departments
or organisations of different size.
Frequency rate =
No. of accidents in the period x 1,000,000
Total hours worked during the period.
Incident rate =
No. of accidents in the period x 100,000
Average number employed during the period.
Near-Misses
▪ A near-miss can be defined as an event that, while not causing harm, has the potential to
cause injury or ill-health.
▪ Near-miss events can be recorded using an incident report form.
▪ The differences are in not having to use the accident book and no injury or treatment to report.
▪ The focus should be on the hazardous event – the event that could have caused harm – the
falling object, the trip over the trailing cable, the slip on the oil spill.
▪ The data can be analysed in the same way as accidents.
▪ Organisations are likely to have more near-misses than accidents and this can help to
generate more meaningful statistics that can be shared with Managers and workers.
▪ Low levels of near misses might suggest under-reporting.
Ill-Health
▪ Ill-health can be defined as harm to a person’s health caused by their work.

▪ Instances of ill-health will typically be identified by:
- Human Resources – absence from work.
- Occupational Health – through health surveillance.
- Medical Practitioner – ill-health diagnosis.
▪ It is possible that some ill-health conditions can be linked to single events such as the
sudden release of a solvent causing nausea.
▪ Data on ill-health can be collated to identify trends such as the nature of the ill-health (stress,
dermatitis, blood disorder).
▪ This can be shared with managers to help identify underlying causes.
Complaints by the Workforce
▪ Complaints by the Workforce should be taken seriously.

▪ Complaints may be categorised under the following headings:
- Welfare – toilets, washing, facilities for rest or changing.
- Workplace – damaged floors, damaged doors, cracked windows.
- Environment – too hot, too cold, too noisy.
- Organisational – excessive pressure, deadlines, shifts.
- Inter-personal – bullying, harassment, poor management.
- Equipment – damaged, efficiency, effort required, fit for purpose.
▪ Complaints should be investigated and suitable responses given.
▪ Many companies use a ‘You said, we did’ board to share responses.
▪ They can indicate the health and safety culture of an organisation.
Enforcement Action
▪ Health and safety enforcement Action may come from:

- Health and Safety Executive.
- Local Authority.
- Fire and Rescue Service.
▪ Enforcement action might include:
- Enforcement notices.
- Prosecution.
- Informal advice.
▪ Each such event should be reported and logged.
▪ They should be shared with Managers and the Health and Safety Committee to allow
investigation, response and to allow lessons to be learned.
Incident Investigation
▪ The output from incident investigation should include:

- An accurate record of the causes of the event.
- An understanding of the impact of the event.
- Recommendations for corrective action.
▪ Analysis of the causes can be used to identify gaps in control measures at all levels in the
organisation.
▪ An understanding of the cost can be used as evidence to support businesses cases for
improvement.
▪ Corrective actions can be assigned, set target dates and can be tracked.
▪ This information can be shared with Management and Health and Safety Committees.
Why Lessons Need to be Learned from Beneficial and Adverse Events
▪ As part of the Act element of the Plan, Do, Check, Act cycle, employers are encouraged to
learn lessons.
▪ Every adverse event presents an opportunity to learn because it suggests that one or more of
our control measures was ineffective.
▪ The risks we identify from each adverse event may previously have been unforeseeable.
▪ Now that they have happened once, they are no longer unforeseeable and must be
managed.
▪ Repeated adverse events are treated more seriously by the courts.
▪ We need to learn lessons across the whole company and from lessons learned by other
organisations. This optimises improvement while minimising loss.
▪ We also need to learn from successes so that we can repeat them.

The Difference Between Leading and Lagging Indicators
▪ Leading indicators provide information that help us make predictions based on current
performance.
▪ Lagging indicators tell us what has already happened as a result of our decisions or actions
previously.
▪ There is a strong link between active monitoring and leading indicators.
▪ There is also a strong link between reactive monitoring and lagging indicators.
▪ Lagging indicators will usually require some form of loss to have occurred while leading
indicators require no loss, only opportunity.
Lagging Indicators may include:

▪ Number of accidents.
▪ Number of near-miss events.
▪ Number of days lost due to ill-health.
▪ Number of employees leaving the organisation.
▪ Number of dangerous occurrences.
▪ The cost of repairs due to damage.
▪ The number of enforcement events.
▪ The cost of FFI invoices, fines and legal costs.
▪ The number and cost of civil claims for compensation.
Leading Indicators may include:

▪ Number of inspections completed on time.
▪ Number of safety samples or safety tours completed.
▪ The percentage of corrective actions closed on time.
▪ The number of risk assessments reviewed on time.
▪ The number of incident investigation reports completed on time.
▪ Attendance at Health and Safety Committee meetings.
▪ Health and safety training completed against the training plan.
▪ Number of workers observed wearing the correct PPE.
▪ Plant and vehicle maintenance checks completed on time.

1 Download HSE guidance CIS47 – Inspection and reports. Understand
the range of items to be inspected, the frequency and the method of
recording certain inspections.
2 Identify the workplace inspections used in your workplace and the
frequency of inspection. Who is responsible for carrying out the
inspections and what happens to the completed reports?
3 Download HSE publication HSG245 – Investigating accidents and
incidents. Read the section on understanding the language of
investigation and the causes of adverse events.
https://www.hse.gov.uk/pubns/hsg245.pdf
4 Research the legislation that relates to accident books to understand
their purpose and when accident books or their electronic equivalent are
required.
5 Read your company’s incident reporting procedure. Does it cover all
events? Does it set out how data will be analysed and shared?
6 Look at how the HSE calculates incident and frequency rates. Look at
the tables and form an opinion on the rates across different industries.
https://www.hse.gov.uk/statistics/adhoc-analysis/injury-frequency-
rates.pdf
You are working as a Health and Safety Manager at a vehicle manufacturing plant. There have
recently been an increasing number of near-misses reported by workers which have been
investigated. It has been identified that many workers are not following standard operating
procedures and safe systems of work on the production assembly line, particularly during busy times.
You have to set up behavioural safety audits which team leaders will conduct whilst supervising
workers on the assembly line. The audit uses a checklist of safe and unsafe behaviours, which a
team leader will record, whilst observing workers on their team and then pass to you for review. If the
team leader observes any unsafe behaviours they will discuss this informally with the employee to
understand why those actions were seen and offer support and guidance, if safe behaviour is
witnessed the team leader will also discuss this with the employee and give them positive feedback.
1. What are the benefits of team leaders using a checklist of safe and unsafe behaviours when
conducting behavioural safety audits? (5)
2. What are the limitations of team leaders using a checklist of safe and unsafe behaviours when

4.2 Investigating Incidents
The Different Levels of Investigation
▪ HSE publication HSG 245 recommends four levels of investigation depending on two factors:
- The potential worst consequences of adverse events.
- The likelihood of recurrence.
▪ The four levels of investigation are:
1. Minimal level.
2. Low level.
3. Medium level.
4. High level.
Taken from HSG 245

▪ Minimal Level
- Relevant supervisor will look into the event circumstances and try to learn lessons to
prevent future occurrences.
▪ Low Level
- A short investigation by a supervisor or line manager into the immediate, underlying and
root causes to prevent a recurrence.
▪ Medium Level
- More detailed investigation by supervisor/line manager, H&S Advisor and employee
representatives into the immediate, underlying and root causes.
▪ High Level
- Team-based investigation as for medium with senior management involved, immediate,
underlying and root causes.
Basic Incident Investigation Steps
HSG 245 recommends a four-step approach to investigating incidents:

1. Gathering the Information.
2. Analysing the Information.
3. Identifying Suitable Risk Control Measures.
4. The Action Plan and its Implementation.
Gathering the Information
▪ Where, when, who?

▪ How did the adverse event happen?
▪ What activities were being carried out at the time?
▪ Was there anything unusual or different about the working conditions?
▪ Were safe working procedures adequate/were they followed?
▪ What injuries or ill-health effects were caused?
▪ If there was an injury, how did it occur and what caused it?
▪ Was the risk known? If so, why wasn’t it controlled?
▪ Did the organisation/arrangement of work influence the event?
▪ Was maintenance and cleaning sufficient?
▪ Were the people involved competent and suitable?
▪ Did the workplace layout influence the adverse event?
▪ Did the nature or shape of the materials influence the event?
▪ Did difficulties using the plant and equipment influence the event?
▪ Was the safety equipment sufficient?
▪ Did other conditions influence the adverse event?
Useful Tips
▪ Remember that gathering information may require some detective work.
▪ Keep an open mind.
▪ Be precise and establish the facts.
▪ Describe the chain of events leading up to the adverse event.
▪ Talk to the injured person, eye-witnesses, line managers, H&S representatives and fellow
workers.
▪ Be objective, avoid apportioning guilt.
▪ If the facts are inconsistent, go back to challenge them.
Analysing the Information
▪ Examine the facts to determine what happened and why.

▪ Is there information missing? If so, make further enquiries.
▪ Be systematic – consider using formal methods.
▪ Use a team approach, involve employee representatives.
▪ Identify the immediate, underlying and root causes.
▪ Get used to asking the question – Why?
▪ Remember to address the human factors.
- Job, individual, organisation.
▪ Test your theory with those involved.
▪ Check that the theory is supported by the facts.
Identifying Risk Control Measures

▪ Identify at least one control measure for every failing or shortcoming identify in the analysis
stage.
▪ Consider a range of control measures generated with reference to the general principles of
prevention.
▪ Use the hierarchy of control to identify the most reliable controls.
▪ Identify interim controls if more robust controls will take time.
▪ Prioritise additional controls to suit the available time and resources.
▪ Assign responsibility and target timescales.
▪ Do similar risks exist elsewhere – can we apply learning there?
▪ Has this happened before? If so, why a recurrence?
Action Plan and its Implementation
▪ Management with the authority to make decisions and to act on the recommendations of the
investigation team should be involved.
▪ They will need to decide which actions to implement in the short and long term.
▪ The action plan should have SMART objectives:
- Specific, measurable, agreed, relevant, with timescales.
▪ Note that not all recommendations will be implemented.
- Not reasonably practicable?
- Other factors – superseded by other decisions?
▪ Which risk assessments, SSoWs, procedures need to be reviewed?
▪ Have we shared the information, reported under RIDDOR?
How Fatalities, Specified Injuries etc. Must be Reported and Recorded
▪ RIDDOR is the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations,

2013.
▪ It requires employers and others to report and to keep records of deaths caused by
accidents, accidents causing certain injuries, defined industrial diseases and certain
dangerous occurrences.
▪ Reporting these incidents is a legal requirement and failure to report can attract enforcement
action.
▪ Reports allow enforcing authorities to target investigation of the most serious events.
▪ It also provides data that the HSE uses to generate statistics that influence policy.
Deaths
▪ What must be reported?
- The death of a worker or a non-worker as a result of a work-related accident.
- Including the death of a worker caused by an accident within one-year of the
accident.
▪ Who should report?
- Employers should report the deaths of employees.
- Persons in control of premises should report deaths of members of the public or self-
employed persons on the premises.
▪ When to report?
- Without delay.
- Written report within 10-days.
Specified Injuries
- Fractures, other than to the fingers, thumbs and toes.
- Amputation of an arm, hand, finger, thumb, leg, foot or toe.
- Injury likely to lead to permanent loss of sight or reduction.
- Crush injury to head, torso damaging brain or internal organs.
- Burn injury (>10% body, or damage to the eyes, vital organs).
- Scalping requiring hospital treatment.
- Loss of consciousness – head injury or asphyxia.
- Hypothermia, heat induced illness or resuscitation or hospital admittance for >24 hours
involving work in an enclosed space.
- Employers should report the specified injuries to employees.
- Persons in control of premises should report specified injuries to members of the public
or self-employed persons on the premises.
▪ When to report?
- Without delay.
Over 7-Day Injuries

- An employee, or self-employed person, is away from work or unable to perform their
normal work duties for more than seven consecutive days (not counting the day of
the accident).
- Employers should report the over 7-day injuries to employees.
- Persons in control of premises to report over 7-day injuries to members of the public
or self-employed persons on the premises.
▪ When to report?
- As soon as practicable and within 15-days of the accident.
Over 3-Day Injuries

A worker is incapacitated for more than three consecutive days.
- There is no requirement to report over 3-day injuries.
▪ What must be recorded?
- Details normally recorded in the accident book.
Dangerous Occurrences
▪ What Should be Reported (Events at Any Workplace)
- Failure of lifting equipment.
- Failure of pressure vessels and systems.
- Contact or proximity with overhead power lines.
- Electrical fires or explosions.
- Misfire or unintended discharge of explosives.
- Release of biological agents.
- Malfunction of radiation generators.
- Malfunction of breathing apparatus.
- Failures during diving operations.
- Collapse of scaffold.
- Train collisions.
- Uncontrolled flow of liquids from wells.
▪ What Should be Reported (Incidents other than offshore)
- Structural collapse.
- Explosion or fire.
- Release of flammable liquids and gases.
- Hazardous escape of substances.
▪ Events at specific locations including:
- Offshore.
- Mines.
- Quarries.
- Relevant transport systems.
-
▪ Who Should Report?
- Employers should report the dangerous occurrences involving employees.
- Persons in control of premises should report dangerous occurrences involving
members of the public or self-employed persons on the premises.
▪ When to report?
- Without delay.
Occupational Diseases
▪ Work-related diseases diagnosed by a medical practitioner including:
- Carpal tunnel syndrome.
- Severe cramp of the hand or forearm.
- Occupational dermatitis.
- Hand-arm vibration syndrome.
- Occupational asthma.
- Tendonitis, tenosynovitis of the hand or forearm.
- Occupational cancer
- Disease due to biological agent exposure.
▪ Who Should Report?
- Employers should report the occupational diseases affecting employees.
- Self-employed persons for their own occupational health diseases.
▪ When to report?
- Without delay.
Recording RIDDOR Events

▪ RIDDOR requires the person responsible for reporting to keep a record of all events listed in
the regulations.
▪ The records of reportable events should include:
- Date and time of the event.
- Name, occupation (or status if not an employee) and injury.
- The location of the event.
- Brief description of the circumstances.
- Date and method of first notification.
- For occupational diseases - the name or nature of the disease and the date of
diagnosis as well as the individual’s details.
▪ Records should be retained for 3-years.

1 Using HSG 245 – Investigating accidents and incidents, read step 2 and
the different techniques recommended for analysis. Study the example
investigation given in the appendix.
https://www.hse.gov.uk/pubns/hsg245.pdf
2 Read your company’s investigation procedure and understand how to
complete the associated forms.
3 Research investigation techniques including Ishikawa, root cause
analysis, bow tie analysis and the 5-why approach.
4 Research immediate, underlying, and root causes.
5 Download and read HSE guidance indg453 – Reporting accidents and
incidents at work. Also explore the HSE web area for RIDDOR. Look at
the full definitions of dangerous occurrences.
https://www.hse.gov.uk/riddor/
You are working as a Health and Safety Advisor at a large superstore and warehouse which sells
home furniture and flooring. Last week there was a collision between a fork lift truck (FLT) and
racking in the warehouse which resulted in a partial collapse of the racking. The accident occurred
late on a Sunday evening when the warehouse was much quieter than normal, so no other workers
were in the immediate vicinity of the racking and equipment which fell, the FLT driver was protected
by the falling object protection system on their truck and whilst shaven sustained no injuries although
the FLT will need replacing. The FLT driver is a highly experienced worker, having worked in the
warehouse for over 10 years, although they are considered by colleagues to be careless there is no
record of any issues on their disciplinary record. You were notified of the accident upon arrival at
work on Monday morning and initiated an investigation, by the time you arrived the accident area had
been cleaned and the damaged racking, fallen goods and FLT had been removed. It is not the first
time that such an incident has occurred, 2 years ago a similar accident occurred resulting in the
another racking collapse which resulted in several employees being struck by falling objects and
requiring hospital care. Following the previous incident it was recommended that the company install
protective barriers around the racking, however the cost of this was prohibitive and instead all of the
racking was painted yellow so that it was more visible to FLT drivers. You have inspected the racking
following the most recent accident and can see that there are many signs of contact between FLTs
and the racking where the yellow paint has been damaged and transferred to the FLTs used in the
warehouse.
1. Why should the scene of the accident have been secured and an investigation start immediately
following the accident? (5)
2. Decide what level of investigation (minimal, low, medium, high) is appropriate in this case, clearly
justifying each step you take that leads to your decision. (5)
Note: You should reference the likelihood and consequence criteria described in HSG245. You
should support your answer, where applicable, using relevant information from the scenario.

4.3 Health and Safety Auditing
Definition of Audit
▪ According to ISO 45001, the definition of an audit is:

Systematic, independent and documented process for obtaining audit evidence and
evaluating it objectively to determine the extent to which auditing criteria are fulfilled.
▪ The audit may be an internal audit or an external audit.
Why Should Health and Safety Management Systems be Audited?
Positive – organisational learning and assurance

▪ Confirm that the OHSMS is fit for purpose.
▪ Confirm that the OHSMS is being followed correctly.
▪ Quantify the risk of legal non-compliance as low.
▪ Better understand how the organisation actually operates.
▪ Communicate the findings to shareholders and potential investors.
Negative – identifying failing of a management system.

▪ Identify the need for a review of the OHSMS.
▪ Identify the need to improve compliance with the OHSMS.
▪ Identify the need for improved evidence of compliance.
▪ Prevent complacency, provide incentive for continual improvement.
Difference Between Audits and Inspections
▪ Health and safety inspections tend to concentrate on observation of the workplace and the
people working within it.
▪ Health and safety inspections can be effective at identifying hazards and deviation from
existing control measures.
▪ Health and safety audits examine the health and safety management system to determine if
the system is suitable.
▪ An audit would determine if the frequency of inspections, the checklists used for
inspections were suitable or needed to change and whether the inspections were conducted on
time, the quality of the inspections and the ability to close out actions.
▪ The findings of an audit might lead to a change in the inspection type, frequency,
responsible persons, checklists and training.
Types of Audits
Product or Service Audit

▪ An examination of a finished product or service to evaluate whether it conforms to
requirements (specification, performance standards and customer requirements).
Process Audit

▪ An examination of how an organisation prepares, produces, distributes products or
delivers services.
System Audit
▪ An audit conducted on a management system.
▪ A documented activity performed to verify, by examination and evaluation of objective evidence,
that applicable elements of the system are appropriate and effective and meet the specified
requirements.
When applying this to a scaffolding company’s operations:

▪ Product or Service Audit.
- The finished scaffold is inspected to confirm that it meets the client specification and is
safe to use and conforms to NASC TG20.
▪ Process Audit.
- The Scaffold Supervisor observed the scaffolders erecting the scaffold to check that
they were complying with NASC SG4 and that they erected and tightened the scaffold
elements in the correct and safe order.
▪ Systems Audit.
- Examination of the procedure for client scaffold requests, design, safe methods of work,
inspection, training and documentation to confirm that all the required documentation
followed company procedures.
Advantages and Disadvantages of External and Internal Audits
External Audit
▪ Advantages
- Auditor more likely to have developed / practised auditor skills.
- Auditor up to date with legal requirements / best practice.
- Auditor provides an objective, independent, impartial view.
- Auditor less concerned about criticising management or employees.
▪ Disadvantages
- Auditor less familiar with the workplace and work activities.
- Workforce may be fearful of an external auditor.
- Auditor unlikely to observe standards changing over time.
- More costly.
Internal Audits
▪ Advantages
- Auditor familiar with the workplace and work activities
- Workforce more at ease with an internal auditor
- Auditor more likely to observe changes / trends over time.
- Less costly and easier to arrange.
▪ Disadvantages
- Auditor may not have developed / practiced auditor skills.
- Auditor not up to date with legal requirements / best practice.
- Auditor may be complacent due to over-familiarity.
- Auditor may be subject to pressure from management.
The Audit Stages

There are five audit stages:
1. Notification of the audit.
2. Pre-audit preparations.
3. Information gathering.
4. Information analysis.
5. Completion of the audit report
Notification of the Audit.

▪ The dates for the audit should be agreed with sufficient time to prepare.
▪ If visiting specific locations, departments or interviewing specific individuals, agree dates and
times.
▪ The scope of the audit should be agreed with regard to which elements of the management
system and which locations or departments will be audited.
Pre-audit Preparations
▪ Assign competent auditors taking account of the:
- Scope of the audit.
- Audit criteria.
- Size, nature and complexity of the organisation.
- Types and levels of risk.
- Methods for auditing.
▪ Ensure sufficient time has been planned for the information gathering, evaluation and for
writing the report.
▪ Ensure the equipment required is available – PPE, IT resources, measuring devices.
Information Gathering
▪ Review relevant documentation:
- Health and safety policy.
- Risk assessments.
- Procedures for SSoW, permits to work.
- Maintenance procedures and records.
- Health surveillance records.
- Incident reports, accident and ill-health records.
▪ Interview a cross section of the relevant workforce and management.
▪ Observe the workplace, plant, equipment and behaviour.
Information Analysis
▪ The auditor(s) should be able to answer the following questions:
- Is there a comprehensive management system and does it meet the audit criteria?
- Are employees at all levels aware of their responsibilities?
- Does the documentary evidence reflect the intended process?
- The procedures and processes are effective at protecting the health and safety of
those it is intended to protect?
- Are the procedures and processes followed?
- Are there non-conformities or omissions?
- Are there opportunities for improvement?
Completion of Audit Report
▪ It is usual to provide initial feedback at the end of the information gathering stage. This
should include any matters that warrant immediate attention.
▪ The written report should communicate:
- The overall performance of the organisation.
- Details of any non-conformances.
- Recommendations.
- Details of observed strengths.
• Justification of the findings with reference to observations.
• The report should be clear and concise and conform to the agreed format.

1 What does your company’s health and safety policy say about health and
safety audit? Does your company use internal or external audits or a
combination of both?
2 Explore the British Safety Council page for auditing and consultancy.
Explore the range of audits available.
https://www.britsafe.org/audit-and-consultancy/audit-and-consultancy-
faqs/
You have recently been recruited by a professional services company which operates internationally.
The CEO has asked you to prepare a presentation for management to explain what health and safety
auditing is and the value it could bring to the organisation.
1. What are the benefits of using 3rd party auditors, rather than internal employees, for carrying out
health and safety audits? (5)
2. What are the benefits of using internal employees, rather than 3 rd party auditors, for carrying out

4.4 Review of Health and Safety Performance
Why Health and Safety Performance Should be Reviewed
▪ To confirm whether H&S arrangements still make sense.

▪ To check the validity of the health and safety policy.
▪ To ensure the health and safety management system is still effective.
▪ To see what has changed about the health and safety environment in your organisation.
▪ To stop doing things that are no longer necessary and to respond to new risks.
▪ To provide an opportunity to celebrate and promote health and safety successes.
▪ To satisfy client or partner organisation reporting requirements.
▪ To close the loop by informing plans for what to do next.
The Review Process and Involvement
▪ A form of review should take place at every level in the organisation. For example:
- Monthly reviews at section level.
- Quarterly reviews at department level.
- Annual reviews for the whole organisation.
▪ The review frequency should be set out in the OHSMS.
▪ Those involved should reflect the level of the review.
▪ There should be employee engagement at lower-level reviews.
▪ The group performing the review should possess sufficient collective competence for the
review to be effective.
▪ The review agenda and supporting information should be shared in advance to allow
adequate preparation.
What the Review Should Consider
▪ Level of compliance with relevant legal and organisational requirements.

- Review of the legal register against recent changes in health and safety legislation.
- Review of the policy and procedures against changes in legislation, ACoPs and HSE
guidance.
▪ Accident and Incident Data, Corrective and Preventive Actions
- A review of the most serious accidents and incidents.
- A review of statistics for accidents and incidents.
- Discussion of the trends and their effectiveness of existing controls.
- Agreeing corrective and preventive actions.
▪ Inspections, Tours and Sampling.
- A review of the commitment to inspections, tours and sampling.
- Understanding the level of commitment and how to improve it.
- A review of the findings of inspection, tours and sampling.
- Understanding trends and identifying corrective actions.
▪ Absences and Sickness
- A review of the statistics for absence and ill-health.
- Understanding the causes.
- Agreeing corrective action.
▪ Quality Assurance Reports.
- A review of quality assurance reports where there is a potential connection between
quality and health and safety.
- Levels of product damage.
- Correct completion of documentation.
▪ Audits.
- Completion of audits against the audit plan.
- Recommendations in audit reports.
- Progress against audit report recommendations.
- Identification of audit trends.
- Agree corrective actions and changes to the audit plan.
▪ Monitoring Data, Records and Reports.
- Air quality monitoring.
- Noise level surveys.
- Health surveillance records.
- Understanding trends and agreeing corrective action.
▪ External Communications and Complaints.
- Feedback from customers, suppliers, neighbours and social media.
- A review of enforcement action.
▪ Results of Participation and Consultation
- H&S Committees or forums held, attendance and effectiveness.
- Employee suggestions and involvement.
▪ Objectives Met.
- Comparison between the H&S objectives set at the previous review and achievement
to date.
- Agreeing corrective action to meet the original objectives.
- Discussion and setting new objectives.
▪ Actions from the Previous Management Reviews.
- Review of progress of corrective actions and initiatives.
- Understanding reasons for a lack of progress.
- Agreeing adjustments to resources or timings.
▪ Legal or Good Practice Developments.
- A review of proposed changes in legislation.
- A review of proposed changes to industry standards.
- A review of new innovations relevant to operations.
- Agreeing actions to prepare for changes.
▪ Assessing Opportunities for Improvement and the Need for Change.
- Considering business decisions and their impact on H&S.
- An overview of health and safety performance.
- Identifying the need for strategic changes to achieve improvement.

1 Read HSE guidance on reviewing H&S performance.
https://www.hse.gov.uk/managing/delivering/key-actions/reviewing-
performance.htm
2 Identify what your organisation’s health and safety policy says about
health and safety performance reviews or management reviews.
3 If possible, look at the minutes or records of your organisation’s most
recent H&S management review.
You have recently joined an international media company working at their European headquarters as
a Health and Safety Advisor. The company has an excellent reputation for health and safety
management and performance. One of the first tasks you have been asked to complete is the annual
review of health and safety performance.
1. What evidence and information would you consider as part of the annual health and safety
performance review? (10)

Exam Style Questions – Summary Answers Points and Examples
Summary answer points show the key points around which an answer should be developed, equal to
the number of marks available. Examples answers show two developed answers for each question built
using two key answer points. The list of summary answer points is not exhaustive for each question. To
maximise marks in a NEBOSH OBE exam a student is required to give the same number of fully
developed answers as marks available for the question.
Morals and money
You have recently joined a manufacturing company as their Health and Safety Advisor. Over the past 6
months there have been a high number of near-misses and accidents resulting in minor injuries and
damage to products and equipment. In one near-miss a contractor narrowly avoided being hit by heavy
mechanical equipment falling from faulty racking, the contractor was blamed for the incident by the
Engineering Manager in an argument. The incident was not formally reported and the contractor told
not to raise further safety issues or their contract could be cancelled. You have decided to prepare a
presentation for the board of explaining the benefits of effective health and safety management.
1. What financial arguments could you use to motivate the directors to commit more time and effort to
Note: You should support your answer, where applicable, using relevant information from the scenario.
Summary Answer Points:

• Production disruption
• Loss of product
• Low worker morale
• Investigation time
• Sick-pay
• Temporary staff / overtime
• Civil claims
• Fines and FFIs
• Reputational damage
• Increase in insurance premiums
Example Answers:
• By managing safety more effectively the company can prevent damage-only accidents resulting in
the loss of damaged product and repairs to equipment which are significant costs to the
organisation. 1 mark
• Poor safety management leaves the organisation at risk of enforcement action and prosecution for
criminal breaches of duty, such as faulty racking, exposing the company to the risk of unlimited
fines. 1 mark
2. What moral arguments could you use to motivate the directors to commit more time and effort to

• Moral duty to protect employees
• Moral duty to protect others, i.e. contractors
• Money cannot be priority over safety
• Reporting of safety issues without reprisal
• Arguments and threats – stress
• Injuries – impact to ability to work
• Injuries – impact to personal life
• Injuries – care duties of family members
• Injuries – trauma and stress to witnesses, increased workloads for colleagues etc.
• Burden on emergency services and healthcare system
Example Answers:
• As an employer we have a moral duty of care to protect our employees, it is unacceptable to
expose employees to harm such as from faulty equipment. 1 mark
• As an employer we have a duty to society, reducing injuries and ill-health we can reduce the burden
on emergency services and healthcare allowing them to focus on those who are most in need. 1
mark
The force of law – punishment and compensation
You are working as an independent health and safety consultant; a client has contacted you to advise
that one of their employees has been injured at work. The employee was drilling metal using a pedestal
drill which had had its guard removed and was struck in one eye by swarf ejected from the drill, they are
expected to lose their eyesight in that eye. The accident has been reported to the Health and Safety
Executive (HSE), who have advised they will be conducting a workplace inspection. The client does not
have any risk assessments in place for the use of drills and has asked what the next steps will be in
terms of the inspection and potential action taken by the HSE.
1. Based on the scenario, advise the client what the inspection and further action are likely to entail.
(10)

• HSE Investigation
o Question managers and workers
o Inspect equipment
o Ask for records – training etc.
• Issue advice and guidance
• Removal of the drill
• Notification of contravention – risk assessments
• Improvement/Prohibition Notice
• Fee for intervention (FFI)
• Prosecution
Example Answers:
• The HSE Inspector is likely to conduct an investigation as part of their inspection, this will include
questioning managers and employees about the accident as well as the wider safety of the
organisation. 1 mark
• The HSE Inspector may remove equipment, such as the drill involved in the accident if they are of
the opinion that it is unsafe to use. 1 mark
2. One month after the incident the client advises you that the employee has initiated a civil claim for
damages based on employer negligence. It has also come to light that the employee removed the
guard from the drill and was not wearing safety goggles, both or which are against company policy.
List FIVE defences to civil claims and in each case advise whether the defence is likely to succeed.
(5)


• Contributory negligence – partial defence
• Volenti non fit injuria (consent) – no
• Duty of care not owed – no
• Duty of care not breached – no
• Duty breach did not result in harm – no
• Not foreseeable – no
• Statute limitation 3 years – no
Example Answers:
• Contributory negligence may provide a partial defence to the claim, as the worker contributed to the
accident by removing the drill’s guard and did not wear protective eyewear, this may reduce but not
eliminate compensation awarded. 1 mark
• Not owing a duty of care to the claimant would not be applicable in this case, as the claimant was
injured as an employee undertaking work for the organisation at the time of the accident. 1 mark
The Most Important Legal Duties for Employers and Workers
You are working as the Health and Safety Manager for a small supermarket chain. An accident has
occurred at one of the stores injuring a member of the public who was shopping at the time. A freezer in
the store was malfunctioning so the Store Manager asked a Checkout Operator to move the contents to
another freezer and turn off the faulty freezer whilst awaiting and engineer to fix it. After the freezer was
turned off condensation from it formed a pool on the waterproof acrylic flooring around it. 4 hours after
the freezer was turned off an elderly customer slipped on the contaminated flooring and suffered a
broken hip. The company has a documented procedure for defrosting freezers which includes the
placement of matting around the freezer to absorb excess condensation and placing warning signs
around the area as well as conducting checks every 30 minutes that the area is safe. The manager and
employee both knew such a procedure existed but had never actually read it, the matting and signs
were not put in place and no checks on the area were carried out.
1. You have been asked to prepare an incident report for management detailing legal duties which all
parties may have breached under the Health and Safety at Work etc. Act 1974. Explain 5 duties
which may have been breached. (5)

• 2(1) – employer to employee– general duty to employees
• 2(2)(c) – employer to employee – lack of instruction and training
• 2(2)(d) – employer to employee – unsafe maintenance of access and egress
• 3(1) – employer to others – duty to protect others
• 7(a) – employee to colleagues/others – not taken reasonable care for health and safety of others
Note – whilst in the scenario given it was a customer injured, employees were also at risk of harm.
Example Answers:
• The company is in breach of Section 2(1) as employees were also put at risk of slips and falls from
the wet flooring, it would have been reasonably practicable to prevent this by following the company
procedure. 1 mark
• Section 7(a) – the employee is in breach of not taking reasonable care to ensure the health and
safety of others as they knew of, but did not follow, the procedure for the task. 1 mark

2. As part of the investigation you examine the freezer and the manufacturer’s instructions. The
manufacturer’s instruction manual provided for the particular model of freezer doesn’t provided
information on defrosting the appliance, but it does indicate that the release of water is eliminated
by a condensation containment system, however this system does not appear to have actually been
fitted. Checking on the manufacturer’s website it appears that this feature was removed from this
model, but the manual online still indicates it is installed as standard.
What duties may have been breached by the manufacturer under the Health and Safety at Work
etc. Act 1974. (3)

• 6(1)(a) – safe when being maintained
• 6(1)(c) – provide adequate information
• 6(1)(d) – revise information provided
Example Answers:
• Section 6(1)(a) – the manufacturer has a legal duty to design the freezer in such a way that it is
safe when being maintained. 1 mark
• Section 6(1)(d) – the manufacturer has removed the condensation containment system from this
model of freezer but not updated the information provided in the manual accordingly. 1 mark
3. Speaking to the Checkout Operator they explain that they asked for a copy of the procedure from
the Store Manager, but they refused and told them to ‘just turn the freezer off and forget about it for
today’. The Store Manager is actually one of the Directors for the supermarket chain.
Why could the Store Manager be prosecuted under Section 37 of the Health and Safety at Work
etc. Act 1974? (2)

• Director of corporate body
• Consented and negligent
Example Answers:
• The Store Manager is a Director of the supermarket chain, as such they can be prosecuted as well
as the organisation, as they have control and influence over the organisation. 1 mark
• The Store Manager consented to the task being performed unsafely and was negligent, they knew
a procedure existed for the task but instructed an employee not to follow it. 1 mark
You are working for Greenway Safety, a health and safety consultancy company. One of the company’s
clients is a software development company employing 200 people, which has employed Greenway to
review their management of occupational safety and health as well as provide ongoing guide and
support. A colleague visited the client’s head office last week and emailed you the following summary
notes before you visit together next month:
No health and safety policy and planning documented. General and task-based risk assessments last
reviewed 3 years ago before the company moved offices, 3 employees currently expecting children but
no individual assessment. Control measures detailed in existing risk assessments are ineffective, not
following hierarchy. Fire risk assessment is up to date, also covers office sub-let to tenant, fire drill last
carried out and documented 2 months ago. 2 of the fire doors in the main office area had been wedged
open using paper. Employees all attend induction and given training on manual handling and safe use
of DSE equipment, this is updated on an annual basis. 2 17 years old apprentices employed as
software developers, full induction completed along with suitable risk assessment 9 months ago,
supervised by senior colleagues and line manager

4. You are reviewing the notes and identifying which regulations the client may be in breach of, or
compliant with, under the Management of Health and Safety at Work Regulations 1999. What would
you put in your notes? (10)

R3 – Risk assessment – RAs out of date
R4 – Principles of prevention – ineffective controls implemented
R5 – Health and safety arrangements – no policy
R7 – Health and safety assistance – employed Greenway Safety
R8 – Procedures for serious and imminent danger – fire RA/evacuation drill
R10 – Information for employees – induction
R11 – Co-operation and co-ordination – fire evacuation with tenant
R13 – Capabilities and training - induction training
R14 – Employees’ duties – wedging open of fire doors
R16 – Risk assessment in respect of new or expectant mothers – no individual RAs
R19 – Protection of young persons – induction, RA and supervision for apprentices
Example Answers:
• Regulation 3 – organisation has not reviewed their risk assessments since moving office, as such
they may no longer be suitable, sufficient and valid in breach of the regulation. 1 mark
• There is evidence that employees are wedging open fire doors, this is in breach of their duties
under Regulation 14 which requires them to use safety devices in accordance with the
organisation’s instructions. 1 mark
Managing contractors effectively
You are working as the facilities manager for a haulage company. The main haulage yard lighting
needs replacing as many of the luminaires have failed and the company has approved replacing with
LED units which will reduce energy consumption. The luminaires are attached to posts across the yard
at a height to approximately 10 metres (32 feet) and will be replaced during working hours when the
yard is being used by vehicles. You have put the contract out to tender with several local electrical
companies.
1. What would you check to confirm that the electrical company selected is competent to complete the
work safely? (10)
Summary Answer Points

• H&S policy and OHSMS
• Competent advice
• Risk assessments and SSOWs
• Training and qualifications
• Trade association membership
• Experience on similar projects
• References, reputation and feedback
• Accident and ill-health records
• Enforcement history
• Insurance – premium change and cancellation
Example Answers
• The contractor’s health and safety policy should be checked to ensure they have a clear statement
of intent, roles and responsibilities and arrangements which demonstrate a strong commitment to
health and safety. 1 mark

• The contractor’s employees should be trained and qualified to complete the work safely, such as
being IPAF qualified to use mobile elevated work platforms when replacing the luminaires. 1 mark
2. You are planning to complete a site induction with the contractors when they start work. What
information would you include within the induction? (5)

• Site rules – such as wearing PPE
• Welfare facilities
• Smoking rules and area
• Emergency evacuation procedure
• Reporting issues and incidents
Example Answers:
• Contractors should be briefed on site rules, for example clear demarcation of work areas and
wearing high visibility clothing on the haulage so that the risk of being struck by moving vehicles is
reduced. 1 mark
• Welfare facilities – contractors should be made aware of the facilities available including washing
and sanitation facilities as well as break areas so that they can use these throughout the works. 1
mark
Health and safety management systems – what they are and the benefits they
bring
You have recently joined a UK-based company which manufactures engineering equipment for clients
across Europe and the Middle East. The company has already been certified to ISO 9001 and ISO
14001 standards, as part of an integrated management system and is currently considering
implementing ISO 45001: 2018. The company has an existing compliance team comprised of a Lead
Auditor and two Internal Auditors. You have experience implementing ISO 45001 at a previous
organisation and have been asked to give a presentation outlining the benefits to the organisation of
becoming certified against this standard.
1. Based on the scenario, what are the likely benefits of the company also adopting and being certified
to ISO 45001? (10)

• External reputation – internationally recognised
• Motivate employees – company cares
• Advantage in tender process as a supplier
• Address safety, quality and environmental management together equally
• Development opportunities for existing employees such as internal auditors
• Identify health and safety issues
• Financial benefit of improving safety standards
• Support legal compliance
• External review as part of audits
• Drive continual improvement
Example Answers:
• ISO 45001 is a recognised international standard, as such potential clients in the Middle East and
wider territories will recognise the high standard of health and safety management which could lead
to further sales and expansion. 1 mark
• Adopting ISO 45001 will allow the existing lead and internal auditors to develop their career through
training in safety and health management, whilst allowing them to utilise existing experience of ISO
standards. 1 mark
2. At present the company is loosely following the Plan, Do, Check, Act stages from HSG65. Indicate
which of the following clauses and sub-clauses taken from ISO 45001: 2018 belong to which of the
4 stages. (5)
• Continual improvement
• Hazard identification and assessment of risks and opportunities
• Management of change
• Leadership and commitment
• Internal audit programme
Answers:
• Continual improvement - Act
• Hazard identification and assessment of risks and opportunities - Plan
• Management of change - Do
• Leadership and commitment - Plan
• Internal audit programme – Check
3. What will the organisation need to consider as part of Leadership and worker participation from ISO
45001: 2018 to ensure that the implementation of the standard is effective? (5)

• Leadership commitment
• OH&S policy
• Organisational roles and responsibilities
• Authorities
• Consultation and participation of workers
Example Answers:
• Leadership commitment – for the implementation to be successful top management must commit to
ISO 45001, taking responsibility and ensuring that the resources needed to implement the standard
are available. 1 mark
• Employees should be consulted as part of the implementation, this will include training so that they
understand ISO 45001 and can support the implementation and work to the standards required. 1
mark
Health and safety management systems – policy and what good looks like
You have recently joined a large manufacturing company which produces paint products as a Health
and Safety Advisor working in the Health and Safety Team. As part of your onboarding you are
reviewing the company’s health and safety policy which was last updated and signed by the CEO 9
months ago. The policy statement outlines the overall aims of the organisation with regards to health
and safety performance which includes clear and detailed targets to increase near-miss reporting,
reduce accident rates and ensure a minimum of 3% of the company’s annual turnover is invested in
managing safety. Year to date the company is on target to reduce accident rates and exceed a 3%
investment in safety, however near-miss reporting is below target. The policy clearly defines health and
safety responsibilities, with line managers having defined duties to promote safety amongst workers, as
well as specific roles such as safety representatives, fire marshals and first aiders in addition to wider
general duties of all workers. During your first weeks at the company you shadow a colleague who has
been a Health and Safety Advisor there for several years. You attend weekly departmental meetings
during which department heads and line managers discuss productivity and quality performance
followed by safety performance, results are positive with few recent incidents reported. Attending the
monthly safety committee meeting several representatives raise concerns that some health and safety
training is overdue for production operatives and highlight a number of safety issues related to slippery
flooring in the main production area that have been reported to them by colleagues for the last few
months. You also work on shift with production operatives, many speak positively about the work
environment and that all colleagues support safe working, but some did express frustration that nothing
gets done to address issues unless it is raised via a safety representative and very little is discussed in
team meetings other than production targets. Speaking to line managers and supervisors it is clear that
their focus is to maintain production rates and quality with day to day safety and supervision left to
safety representatives and employees.
1. Based on the scenario, comment on how effectively the company’s policy is in supporting safety
management? (10)
Positive:
• Safety discussed in department meetings
• Consultation through committee meetings with safety reps
• Safety performance aligned to objectives – accident rates, investment
• Colleagues supporting safe working – roles
• Few recent incidents
Could be improved:
• Feedback via managers or other channels
• Meetings at senior and team level are production-focused
• Flooring issues ongoing for several months
• Near-misses not being reported
• Managers not taking responsibility for safety – left to reps and workers
Example Answers:
• The company has set SMART objectives, such as investing 3% of turnover per annum in managing
safety, and is on target to meet this showing commitment to achieving the target. 1 mark
• Feedback – employee feedback indicates that concerns are only addressed when raised with safety
representatives, indicating issues with communication and consultation, such as managers and
supervisors not acting on concerns. 1 mark
2. You recommend that the company puts in place additional meetings to improve communication and
consultation with employees on safety. What meetings could be used to improve safety consultation
in this workplace? (5)

• Start/end of shift meetings – toolbox talks
• Weekly or monthly team meetings
• Employee and senior management meetings – i.e. ‘skip level’
• 1-2-1 meetings between employees and line manager
• Annual review meetings
Example Answers:
• Short team meetings could be held at the start and end of each shift, enabling employees to
discuss issues and concerns collective with managers so that resolutions can be implemented
promptly. 1 mark
• Bi-annually workers could have a meeting with senior managers to discuss overall performance
including safety, this would enable them to feedback information directly to management who can
drive change at a senior level. 1 mark
Health and safety culture
You are working as a Health and Safety Advisor at a distribution warehouse. The previous evening
there was an incident in the warehouse during which 2 fork-lift trucks (FLT) collided, no injuries were
caused and the only damage were minor scrapes to the FLTs, which do not require repair. The incident
was not officially reported, but a worker not involved in the incident mentioned it to you at the start of
your day. You decide to review the warehouse CCTV footage of the incident which shows one vehicle
being driven erratically and at speed by Employee A, Employee B was sat in the other FLT on their
mobile phone, parked in an unauthorised area. You see the FLT driven by Employee A brake and skid
into the FLT parked by Employee B. After the collision Employee A is seen to confront Employee B and
push them to the floor, before being pulled away by colleagues who also help Employee B to their feet.
You phone the employees’ Team Manager who advises that they were unaware of the incident, they
mention they have spoken unofficially to both employees numerous times in the past about their
behaviour at work following unsafe acts and incidents. The Team Manager says that both employees
are good workers and they will have a quick chat with them in the next week or so. After the call you
check the disciplinary records of both employees, Employee A was issued with a formal warning
previously, following an altercation with another employee, there is nothing on file for Employee B. You
visit the warehouse are the collision occurs in and find that there looks to be the remnants of an oil
spillage where the FLT skidded. Speaking to operatives you find out the spillage occurred several days
ago, it was partially cleared up using sand but things have been too busy for full cleaning of the area to
take place.
1. What are the negative indicators of safety culture at the distribution warehouse? (5)

• Unsafe acts from employees – speeding / parking in unauthorised areas
• Blame / aggression from employees
• Lack of reporting of incidents
• Management avoiding formal disciplinary processes
• Poor housekeeping
Example Answers:
• Management avoiding formal action against employees is a negative indicator of safety culture, as it
sends out the message to employees that unsafe acts and incidents are acceptable. 1 mark
• Poor housekeeping evidenced by the oil spillage not being cleared is a negative indicator of safety
culture as it shows the culture of the organisation is focused on productivity rather than safety. 1
mark
2. Following the incident you decide to suggest steps to improve the safety culture in the organisation.
Based on the scenario only, what steps would you suggest to improve safety culture? (5)

• Management training - commitment
• Investigation of incidents
• Supervision and monitoring – unsafe conditions
• Staff training on safety rules

• Feedback and communication channels
Example Answers:
• Management should be given training so that they can address issues effectively, including initiating
disciplinary action where required so that the correct expectations are set with staff with regards to
safety and appropriate behaviours. 1 mark
• Effective methods of feedback should be enabled so that staff can report issues such as the FLT
accident and unsafe conditions such as the spillage without fear of reprisal so these can be
addressed to prevent recurrence. 1 mark
How human factors influence behaviour
You are working as a Health and Safety Advisor at a bakery which produces bread and other baked
products. The bakery operates 24/7 with workers working 12 hour shifts. The bakery has a good health
and safety record, however there have been an increasing number of incidents recently with a lack of
leadership and supervision. Over the past 6 months the bakery has employed increasing number of
temporary workers to support high production rates, who are given a basic induction when joining,
commonly these workers do not have the same first language as the permanent staff members and
there have been several disagreements between the two sets of workers. Within the bakery there is a
conical dough rounder which rolls dough into balls ready for baking. The dough rounder features a large
cone inside a circular conveyer, the cone spins driving dough around the conveyer moulding it into
shape, it is open sided allowing workers to monitor the process and provide easy access for cleaning.
Over the past 3 months the rounder has regularly jammed with dough, stopping production whilst the
machine is turned off and dough removed. Whilst most machinery has clear signs warning employees
of the dangers posed by the equipment the dough rounder does not and there is no indicator on the
machine to indicate whether it is turned on or not. A young worker recently joined the bakery, employed
on a temporary basis to support production staff cleaning the bakery, the job is monotonous and
physically demanding.The worker is known as a hard worker but often break rules to get tasks
completed more quickly due to high workloads, and blame ignoring shouted warnings from colleagues
on a hearing impediment. The worker was given the basic induction and told by the team leader not to
clean any equipment whilst it is operational. Towards the end of a recent shift the worker noticed the
conical moulder was jammed with dough and not moving, they removed the dough manually by hand.
Suddenly as the dough was removed the machine unjammed and started moving, drawing the worker’s
arm into it and fracturing their wrist.
1. Based on the scenario only, what individual human factors might have negatively influenced the
behaviour of the injured worker? (5)

• Language barriers
• Hearing impediment
• Risk perception
• Experience
• Attitude to rules and safety
Example Answers:
• The worker suffers from hearing issues, which may have prevented them from hearing verbal
warnings from colleagues or auditory signals from the machinery that it was still operational which
could have stopped them from putting their arm in the machine. 1 mark
• The worker is young and only received a basic induction, therefore they make lack risk perception
of the harm which can be caused by the conical rounder incorrectly believing it was safe to put their
arm in the machine. 1 mark
2. What organisational and job factors may have negatively influenced the behaviour of the injured
worker? (5)

• Lack of leadership/supervision
• Divide between permanent and temporary workers
• Long working hours – 12 hour shifts
• Monotonous and physically demanding task
• Poor labelling of equipment
Example Answers:
• A lack of supervision of the worker, particularly combined with their regular rule breaking, may have
resulted in them believing it was acceptable to work unsafely and disregard the team leader’s
instructions not to clean machines whilst they are running. 1 mark
• The cleaner’s role is monotonous and physically demanding, they may have been tired and not
paying attention towards the end of their shift resulting in a lack of safe judgment to unjam the
rounder without checking whether it was turned off first. 1 mark
Assessing risk
You are working as the Health and Safety Advisor at a large supermarket and are reviewing the
company’s risk assessments. The supermarket employs 60 workers in the supermarket itself, as well as
a further 20 workers in the adjoining warehouse where stock arrives. The supermarket is open 24 hours
a day to the public and also organises online orders for Internet shoppers. Online orders are collected
at 4am each morning by a group of self-employed drivers using the supermarket’s vehicles from the
warehouse and deliver the orders to the customers’ homes. The 60 supermarket workers are divided
into 3 teams across ranging shift patterns based on how busy the supermarket is at different times:
• 20 Checkout Workers – work 4-8hr shifts on tills processing customers’ purchases in-store. The
majority of checkout workers are aged 60+ and work part-time.
• 40 Shelf Stockers and Order Collectors – work 4-8hr shifts, mainly overnight, re-stocking shelves
with products from the warehouse and collecting online orders from the shelves and transferring
them to the warehouse. The majority of shelf stockers are young persons working part-time.
• 20 Warehouse Operatives – work 12hr shifts (days or nights), transfer bulk deliveries from lorries to
the warehouse in preparation for shelf stocking and organise the online orders in the warehouse for
collection by delivery drivers
1. Based on the scenario only, what are the main types of people that should be considered within the
workplace risk assessment? (5)

• Supermarket staff – checkout workers, shelf stockers, order collectors
• Warehouse staff
• Self-employed drivers
• Public shopping in the store
• Public on delivery routes
Example Answers

• The risk to warehouse staff should be considered, as these employees work long shifts moving
goods including heavy bulk items, as such there is elevated risk of musculoskeletal injuries from
manual handling.
• Pedestrians and other road users should be considered as part of the risk assessment, as there is a
risk of harm that they or their vehicle could be struck by the supermarket’s vehicles resulting in
injury and damage.
2. Recently there have been several reports of delivery drivers driving erratically in company vehicles
and last month a driver was stopped by the police as none of the outside lights on their vehicle were
working. You have reviewed the risk assessment for delivery drivers and realised that the
supermarket performs no regular checks on the drivers or vehicles and no follow up actions have
been completed with drivers following incidents. What administrative controls would you
recommend are put in place to reduce the level of risk posed by the supermarket’s deliveries? (5)

• Driving licence checks
• Training/briefing on vehicle conditions
• Daily vehicle checks
• Driving tracking devices
• Disciplinary procedure
Example Answers
• The supermarket should conduct driving licence checks to ensure all drivers have a valid licence to
drive the company’s vehicles and check driving offences to prevent drivers using company vehicles
if they have a history of unsafe driving.
• Delivery drivers should be trained on the company’s vehicles, how to check it is roadworthy and
how to report issues to prevent unsafe vehicles being driven which could increase the risk of a road
traffic accident.
3. Using the risk assessment matrix below, show how the level of risk posed by a vehicle significantly
changes if none of its outside lights are working. (5)
Likelihood
Unlikely (1) Likely (2) Very likely (3)
Fatal injury (3) Medium High High
Severity
First-aid / hospital
Low Medium High
care injury (2)
Minor injury (1) Low Low Medium

• Lights increase driver visibility
• Risk = low with lights working
• Lights increase identification with other road users
• Risk = high with lights not working
• Level of severity can change due to change to braking distances
Example Answers
• Working lights reduces the likelihood of an accident occurring, as they enable the driver to see road
conditions and hazards clearly, and take appropriate action such as reducing speed or avoiding
potholes. 1 mark
The risk of harm with the vehicle having working lights is low (2), as the likelihood is unlikely (1) and
most common severity of harm would be first-aid or hospital care injury (2), the likelihood and severity
rating are multiplied together to give the risk rating - 1x2 = 2. 1 mark
Management of change
You are working as the Health and Safety Manager at a large garden centre which sells horticulture
products to the public. The nursery building used to propagate and grow plants is no longer fit for
purpose, management have therefore arranged for the building to be demolished and a new nursery to
be constructed in its place. It is expected that the demolition and construction will take 6 months to
complete, during which period there will be disruption to normal operations. All of the workers who
normally work in the nursery will be seconded to other roles across the company during the
construction period. The garden centre will need to source more stock from external partners over the
next 12 months, with a significant increase in deliveries using lorries which will occur at any time of the
day. With significant construction work occurring on site part of the garden centre will be segregated so
that employees and members of the public cannot access the construction site, whilst part of the car
park will be cordoned off for use by the construction companies involved.
1. You have been asked by management to prepare a presentation for a board meeting to provide an
overview of the potential impact the construction project may have. What would you recommend
management should consider in preparing the organisation, employees and other stakeholders
during the construction project? (10)

• Communicating changes and getting feedback
• Training for employees being seconded
• Increase in vehicular traffic – construction and deliveries
• Changes in access – employees, contractors, public
• Risk assessment – noise, dust, fire etc.
• Segregation of work area and car park
• Co-operation between employees and contractors
• Update of emergency procedures
• Welfare facilities
• Review of change
Example Answers:
• The changes before, during and after the construction work should be discussed in consultation
with employees, such as alternative roles which employees wish to be seconded to so that
employees are not pressured into and demotivated by unsuitable roles which could affect safety
performance. 1 mark
• A risk assessment is required to consider new risks introduced wider than just the construction
area, for example an increase in noise and production of dust during demolition and construction
work which could harm garden centre employees and members of the public. 1 mark

Safe systems of work for general activities
You are working for a construction company who are contracted by a city council to install electric
charging points for vehicles across the city over the next 3 years. This type of work is completely new to
the company, previously most of their projects involved the renovation of office buildings which all
employees are highly experienced and competent in. Before the contract was awarded a general risk
assessment was completed, along with a safe system of work for the task. The documents were
produced by an external health and safety consultant without the involvement of the company or
employees. The risk assessment and safe system of work were not reviewed following the awarding of
the contract and during the first 3 months of the project there have been numerous near-misses
reported by engineers and construction workers, as well as several accidents. The most recent accident
resulted in an experienced worker being electrocuted when the jackhammer used to break up concrete
hit utility cables buried under a pavement, the worker whilst startled was not seriously injured. An
investigation of the accident revealed that the safe system of work was not actually held by the
construction company, as such the worker had never seen it and had not considered whether there
were underground services beneath the pavement as previous activities they undertook were very
different.
1. Why should workers have been involved in the risk assessment process and development of a
safe system of work? (5)

• Changes to procedures and tasks affecting health and safety
• Changes to hazards workers are exposed to
• Understanding of the procedure
• Workers can identify controls
• More likely to adhere to procedure
Example Answers
• The project to install charging points is different to the company’s previous works, as such workers
will be exposed to different hazards, it is a legal requirement to consult with employees when there
is a change that affects their health and safety. 1 mark
• By involving experienced workers in developing the safe systems of work they could have identified
additional hazards and effective control measures that the external consultant may not have been
aware of, reducing residual risk and preventing near-misses and accidents. 1 mark
2. Why should the construction company have a recorded copy of the safe system of work? (5)

• Provides reference for workers
• Defines clear procedures where there is high risk
• Enables consistent communication
• Supervision of adherence
• Identification of issues and improvements
Example Answers

• A documented safe system of work provides a reference for workers so that they can ensure that
required control measures are in place and the correct steps are followed to minimise the risk of
harm, such as checking the location of underground services before excavating. 1 mark
• A copy of the safe system of work could have been provided to workers before the project, enabling
them to identify any concerns such as requiring cat and genny training to detect underground
services which they may not previously have done. 1 mark
Permit-to-work systems
You are working as a Health and Safety Advisor at a waste treatment plant. The plant has 12 sewage
storage tanks which are interconnected, the sewage within each storage tank produces methane which
is transferred and collected in a separate pressurised gas storage tank and used as a biofuel to power
the plant. Each month one of the sewage storage tanks is temporarily disconnected from the others and
emptied so that it can be cleaned and inspected internally. The tank is then entered by cleaners who
clean any residual sewage before being inspected by engineers who check for issues such as corrosion
and conduct any required repairs.
1. Why should a permit-to-work system be used to manage the cleaning and inspection of the
sewage storage tanks? (5)

• High risk
• Restrict access – confined space
• Ensures task is controlled
• Enables communication and supervision
• Ensures emergency procedures are in place
Example Answers
• The entering of storage tanks is a high-risk activity as the tank is a confined space, the potential
presence of methane poses a risk of asphyxiation to workers in the tank, as well as acting as a
source of fuel which could result in a fire if ignited. 1 mark
• Ensuring a permit is used appropriately restricts access to the tank so that only competent workers
who experienced working within confined spaces can enter the tank, this reduces risk as those
involved in the activity are familiar with the hazards and safe system of work required. 1 mark
2. What other tasks might the engineers at the waste treatment plant undertake which require a
permit-to-work? (5)

• Non-routine maintenance tasks
• Hot works such as welding and grinding
• High voltage electrical works
• Work at height
• Pressure testing

Example Answers
• A permit-to-work would be required for non-routine maintenance, such as working on live
mechanical equipment such as motors where there is a risk of physical injury from contact with
moving parts. 1 mark
• Roof work and other high-risk work at height would require a permit-to-work as the consequence of
falling from height would be severe resulting in life-changing or fatal injuries to the fallen worker. 1
mark
Emergency procedures
You are working as a Health and Safety Advisor at a large distribution site for an online retailer and
have been asked by management to review the first-aid provision for the site. The site is located 20
miles away from the nearest town and hospital and is operational 24/7, employing over 200 warehouse
workers across 4 shifts. There are 2 large warehouses on site, each of which measures 750m x 250m
within which operatives process thousands of orders. As well as warehouse workers undertaking
manual handling activities to organise customer orders ready for despatch there is also a team of
cleaning operatives who clean the warehouse and welfare facilities which include toilets and a staff
canteen which serves hot meals. In additional around 30 office employees are on-site each day, as well
as delivery drivers who are transferring goods and orders to/from the site.
1. What would you consider so that first-aid needs are realistic and proportionate for workers at
the distribution site? (10)

• Shift patterns
• Holidays and absences
• Number of workers on site at any time
• Hazards and risk at the site
• History of accidents including types
• Size and location of buildings
• Distance to nearest hospital
• Specific equipment – i.e. eye wash for chemicals
• Defibrillator
• Non-employees on site – i.e. 3rd party delivery drivers
Example Answers:
• The number of trained first aiders needs to be proportionate to the number of employees working
on site, as per HSE recommendations there should be at least one person trained in first aid for
each 50 workers on site. 1 mark
• Given the significant distance to the hospital which will extend the time for emergency services and
paramedics to attend an injured party on site the company should consider installing defibrillators
as in the event of cardiac arrest the use of a defibrillator quickly increases the chance of survival
significantly. 1 mark
2. You have been asked to review the emergency procedure to be followed in the event of fire at
the distribution site. What would you consider to ensure that the fire evacuation procedure at
the site is effective? (5 marks)

• Means of detection
• Alarms and warning
• Egress routes
• Assembly points
• Training and drills
Example Answers
• It is important that once a fire is detected appropriate alarms and warnings are given so that all
employees can evacuate promptly, this would include the use of visual/vibrating alarms for workers
in high noise areas who may not be able to hear sirens. 1 mark
• The large warehouses must have sufficient escape routes which are clearly signposted so that
employees can evacuate promptly away from fire and smoke, regardless of where within the
warehouse they are located when the alarm is raised. 1 mark
Active and reactive monitoring
You are working as a Health and Safety Manager at a vehicle manufacturing plant. There have recently
been an increasing number of near-misses reported by workers which have been investigated. It has
been identified that many workers are not following standard operating procedures and safe systems of
work on the production assembly line, particularly during busy times. You have to set up behavioural
safety audits which team leaders will conduct whilst supervising workers on the assembly line. The
audit uses a checklist of safe and unsafe behaviours, which a team leader will record, whilst observing
workers on their team and then pass to you for review. If the team leader observes any unsafe
behaviours they will discuss this informally with the employee to understand why those actions were
seen and offer support and guidance, if safe behaviour is witnessed the team leader will also discuss
this with the employee and give them positive feedback.
1. What are the benefits of team leaders using a checklist of safe and unsafe behaviours when

• Quick to use
• Easy to understand
• Consistent criteria
• Simple to identify issues
• Can compare results
Example Answers
• A checklist is easy to understand for the team leader as it will contain a clear list of safe and unsafe
acts so the team leader can identify these against each employee’s behaviours when they are
observing them. 1 mark
• Collecting the data through checklists will enable quantitative data to be produced, this will allow
common issues to be identified, as well as if there are variations of behavioural issues between
workers and shifts so that these can be addressed specifically. 1 mark
2. What are the limitations of team leaders using a checklist of safe and unsafe behaviours when

• Limited scope
• Criteria may be misinterpreted
• Does not allow for explanation
• May miss more serious issues
• Could become tick-box exercise
Example Answers
• Using a checklist may mean the team leader focuses only on the safe and unsafe behaviours listed
in the checklist and not identify or address wider safe and unsafe behaviours resulting in employees
still working unsafely. 1 mark
• The completion of checklists may be come a box ticking exercise for the team leader without any
real observation of employees and feedback being given undermining the whole activity and
meaning workers still behave unsafely. 1 mark
Investigating incidents
You are working as a Health and Safety Advisor at a large superstore and warehouse which sells home
furniture and flooring. Last week there was a collision between a fork lift truck (FLT) and racking in the
warehouse which resulted in a partial collapse of the racking. The accident occurred late on a Sunday
evening when the warehouse was much quieter than normal, so no other workers were in the
immediate vicinity of the racking and equipment which fell, the FLT driver was protected by the falling
object protection system on their truck and whilst shaken sustained no injuries although the FLT will
need replacing. The FLT driver is a highly experienced worker, having worked in the warehouse for
over 10 years, although they are considered by colleagues to be careless there is no record of any
issues on their disciplinary record. You were notified of the accident upon arrival at work on Monday
morning and initiated an investigation, by the time you arrived the accident area had been cleaned and
the damaged racking, fallen goods and FLT had been removed. It is not the first time that such an
incident has occurred, 2 years ago a similar accident occurred resulting in the another racking collapse
which resulted in several employees being struck by falling objects and requiring hospital care.
Following the previous incident it was recommended that the company install protective barriers around
the racking, however the cost of this was prohibitive and instead all of the racking was painted yellow so
that it was more visible to FLT drivers. You have inspected the racking following the most recent
accident and can see that there are many signs of contact between FLTs and the racking where the
yellow paint has been damaged and transferred to the FLTs used in the warehouse.
1. Why should the scene of the accident have been secured and an investigation start immediately
following the accident? (5)

• Gather physical evidence from scene
• Gather evidence from witnesses
• Accident conditions - lighting
• Assess scale of accident and damage caused
• Prevent further collapse and injury
Example Answers
• By securing the scene physical evidence could have been collected to understand how the FLT has
collided with the racking and caused the collapse, this would have enabled the investigation to
determine whether driver error or mechanical failure had contributed to the accident. 1 mark
• Immediate investigation following the accident would enable investigators to assess wider
conditions which may have contributed to the accident, such as poor lighting given the accident
occurred at night-time and other factors such as spillages on the warehouse floor which may have
caused the FLT to skid. 1 mark
2. Decide what level of investigation (minimal, low, medium, high) is appropriate in this case,
clearly justifying each step you take that leads to your decision. (5)
Note: You should reference the likelihood and consequence criteria described in HSG245. You
should support your answer, where applicable, using relevant information from the scenario.

• High level investigation
• Recurrence = likely
• Worst consequence = fatal
• Identify underlying and root causes
• Team-based
Example Answers
• The likelihood of recurrence is likely given that a similar accident has occurred previously and that
there is evidence of frequent collisions between FLTs and racking as indicated by the transfer of
paint from racking to vehicles. 1 mark
• A high-level investigation involves not just the identification of immediate causes but will enable the
company to identify and address the underlying and root causes, such as management issues to
prevent wider accidents across the entire business. 1 mark
Health and safety auditing
You have recently been recruited by a professional services company which operates internationally.
The CEO has asked you to prepare a presentation for management to explain what health and safety
auditing is and the value it could bring to the organisation.
1. What are the benefits of using 3rd party auditors, rather than internal employees, for carrying out

• Auditing skills
• Objective and impartial
• Can provide best practice guidance
• Provides credibility
• Will assess management without fear
Example Answers:
• A professional auditor may possess skills which internal employees do not have, such as advanced
questioning techniques, enabling them to identify information as part of the audit which may
otherwise have been missed. 1 mark
• Using a recognised third party auditor will provide credible audit results, which can be used as part
of the tender process to demonstrate effective and pro-active health and safety management by the
company. 1 mark

2. What are the benefits of using internal employees, rather than 3 rd party auditors, for carrying out

• Less expensive
• Internal auditors understand the organisation
• Other employees more likely to embrace colleagues they know
• Auditor likely to notice changes in the organisation over time
• Provides development opportunities for employees
Example Answers:
• The cost of using internal auditors is generally less expensive and audits can be organised around
the availability of other employees and departments reducing the impact and cost of audits. 1 mark
• Internal employees are likely to understand the organisation better, its culture, procedures and
issues so that their findings and recommendations may be more relevant enabling them to improve
health and safety more effectively. 1 mark
Review of health and safety performance
You have recently joined an international media company working at their European headquarters as a
Health and Safety Advisor. The company has an excellent reputation for health and safety management
and performance. One of the first tasks you have been asked to complete is the annual review of health
and safety performance.
1. What evidence and information would you consider as part of the annual health and safety
performance review? (10)

• Legal compliance
• Accident and incident rates
• Absence and sickness rates
• Safety inspection reports
• Quality assurance reports
• Audit results, non-conformances and OFIs identified
• Safety monitoring records
• External feedback and complaints
• Worker participation and consultation
• Achievement of health and safety objectives
Example Answers
• The review should consider accident and incident rates over the past 12 months, comparing these
to previous years, as well as looking for differences between areas within the organisation, enabling
the identification of trends and varying levels of performance across the organisation. 1 mark
• The performance review should look at the outcomes of health and safety audits, where there have
been non-conformances or opportunities for improvement identified the review should assess
whether these have been addressed through corrective and improvement actions to support health
and safety practices. 1 mark

OBE Mock Exam
Below is a full scenario and mock exam for the NEBOSH General Certificate in the same format as the
actual exam.
Tips for completing

The exam contains 12 tasks worth 100 marks in total, the word limit is 3000 words, you can complete
the exam in any order.
✓ Give 1 answer per mark available (i.e. 10 distinct answers for a 10 mark question)
✓ Each answer should be approximately 30 words in length (3000 words available for 100 marks)
✓ Separate each answer using either bullet points or paragraphs
✓ Where a question and answer is split into multiple parts ensure this is clearly indicated on your
answer sheet
✓ Reference the scenario as indicated within the questions
✓ Ensure your answer demonstrates understanding, such as through a brief explanation
✓ If you are unsure of what the question is assessing check the task against the learning outcome
contained within the NEBOSH syllabus guidance
SCENARIO
You have recently joined Direct Parcels as a Health and Safety Advisor. Direct Parcels are a national
courier and distribution company, delivering thousands of parcels across the country on a daily basis.
The company employs 500 people across 10 sites and is also supported by 1000 couriers who work as
self-employed contractors delivering parcels. Direct Parcels has a mixed reputation for health and safety,
it is ISO 45001 certified but has come under increasing media scrutiny over the past 2 years following
reports that Warehouse Operatives are not being given adequate breaks on busy shifts and the volume
of deliveries for couriers means they often earn less than minimum wage.
You work at Ringway Distribution Hub, which is one of Direct Parcels 3 main distribution centres operating
24 hours a day, 7 days a week and only closing on bank holidays. The Hub is managed by the Hub
Operations Manager, with 4 teams of warehouse operatives working 4 shifts on, 4 days off sorting the
parcels for delivery. The 2 day shift teams which alternate are comprised of 1 Team Leader and 9
Warehouse Operatives who work 10:00 – 22:00, whilst the 2 night shift teams have 1 Team Leader and
19 Warehouse Operatives who work 22:00 – 10:00.
Warehouse Operatives are responsible for sorting parcels for couriers to collect and deliver, with the
busiest time during 00:00 and 06:00 as parcels are dropped off by Direct Parcel’s fleet of lorries and
organised for collection by couriers daily between 07:00 and 09:00.
Ringway Distribution Hub was opened 5 years ago and for the first 4 years had a good safety record,
with accident rates during those years well below the industry average. However, over the last 12 months
there have been a high number of incidents at the site, several warehouse operatives have experienced
musculoskeletal disorders associated with manual handling and last week a courier suffered a broken
leg after being struck by a reversing van driven by another courier in a loading bay.
You discussed the recent incidents with the Hub Operations Manager who was promoted to the role 2
years ago having worked as a Team Leader at the hub since it opened. They advised that they had
discussed increased workloads over the past 12 months with senior Direct Parcels management,
following an increase in online orders due to a global pandemic, but senior management would not
commit to more staff as the distribution sector is currently very competitive and they need to protect
shareholders. The Hub Operations Manager dismissed the injury to the courier, saying; ‘couriers are
always trouble, if they had both followed the rules this wouldn’t have happened, but they’re not our
employee so who cares…’.

Following the discussion you decided to work a night shift at the hub so you could see how things operate,
as you’re new to the company the Team Leader and Warehouse Operatives assumed you were an
agency contractor covering for an employee currently absent due to a back injury. At the start of the shift
the Team Leader paired you with a Warehouse Operative and told them to show you what to do, the
Warehouse Operative told you to move trolleys and pallets of parcels to the loading bay areas where
they would unload them for a courier to load later. During the shift you saw Warehouse Operatives moving
multiple trolleys and pallets at the same time, despite the company risk assessment, training and safe
operating procedure advising only 1 should be handled at a time. You barely saw the Team Leader for
the remainder of the shift as they were busy moving trolleys and pallets themselves and checking orders
were correct for the couriers to load. Company policy is that employees should receive a 15 minute break
every 2 hours, with a 30 minute break at around 4pm, however during the shift the only breaks were for
5 minutes to go to the toilet or smoking area and a 30 minute break for all at 06:00 once all the day’s
parcels had been organised. You saw a number of issues in the warehouse such as a fire door between
areas being propped open so that goods could be carried through it without needing to open it and a
pallet truck being used which had a broken wheel, the emergency exit from the staff room was also
blocked by employees’ belongings. Speaking to the operative he’s aware there is a health and safety
policy, but it hasn’t been updated for years and he hasn’t received any further training since he started
with the company 3 years ago.
At 07:00 couriers started arriving to collect parcels for delivery, helped with loading by the Warehouse
Operatives. Very few of the couriers followed the site rules of reversing in to the loading bays and wearing
high visibility clothing at all times when outside their vehicle. At times the unloading bays were very busy
with multiple vans blocking lighting reducing visibility of operatives and couriers working in the area. You
saw one courier driving well above the 5 MPH speed limit of the site, who you spoke to and explained
why they need to slow down to which they replied ‘I’m paid to deliver these as quickly as possible, if you
want me to slow down you need to pay me more’.
At the end of the shift you spoke to the Team Leader and revealed you are the new Health and Safety
Advisor. The Team Leader was open and honest and said that things have slipped over the past year as
work volumes continue to increase, they had raised issues with management but received no response
and hasn’t seen the Hub Operations Manager for over 6 months. They also said that a lot of employees
are unhappy and looking to leave but feel stuck there due to lack of job opportunities owing to the global
pandemic.
You have requested a meeting with the Hub Operations Manager and Team Leaders to discuss your
findings. The Hub Operations Manager told the Team Leaders not on shift at the meeting time not to
attend and information would be shared via email. In passing the Hub Operations Manager said to you
‘It’s the Team Leaders fault, when I was a Team Leader my team didn’t have accidents, they need to sort
themselves out and just get on with it, I don’t have the time to be sorting out their problems’.

Task 1: Justifying health and safety improvements
1. At the meeting with the Hub Operations Manager and Team Leaders you agreed that you would
again ask senior management for increased staffing, what arguments could you use to justify
increased staffing on night shifts in the warehouse?
a) Moral arguments (2)
b) Legal arguments (4)
c) Financial arguments (4)
Task 2: Managing contractors safely
2. Contractors working in the warehouse and as couriers should receive induction training when they
start work at the hub. What information should be included in this training? (10)
Task 3: Duties of employers
3. What health and safety duties are the organisation, employees and contractors likely to have
breached in this scenario? (10)
scenario.NG1 students should refer to relevant UK legislation, and IG1 students should refer to ILO
conventions and recommendations in answering this question.
Task 4: Managing contractors safely
4. The warehouse roof is currently leaking in several places, which you are arranging to be repaired
by external contractors. When selecting the external contractors, what should you consider when
assessing their competence for this activity? (10)
Task 5: The benefits of health and safety management systems
5. The organisation is certified to ISO 45001, the most recent surveillance audit from last year
indicated a number of opportunities for improvement (OFI). What are the benefits of maintaining the
occupational health and safety management system certification and addressing the OFIs? (10)
Task 6: Health and safety management systems work and what they look like
6. Indicate which of the following stages of the Plan, Do, Check, Act model the following arrangements
from ISO 45001 belong to. (5)
a) Control of documented information
b) Continual improvement
c) Consultation and participation of workers
d) Eliminating hazards and reducing OH&S risks
e) Evaluation of compliance
Task 7: Health and safety management systems work and what they look like
7. You are looking at health and safety consultation in the company, what meetings could you plan to
improve consultation? (5)

Task 8: Health and safety culture
8. Based on the scenario only, what are the negative indicators of health and safety culture in the
organisation? (5)
Task 9: How human factors influence behaviour positively or negatively
9. What human factors might have negatively influenced the behaviour of the injured courier? (5)
Task 10: Assessing risk
10. Based on the scenario only what control measures would you recommend to limit the risk of injury
to employees and contractors? (10)
Task 11: Investigating incidents
11. Other than a general improvement of health and safety, what specific reasons are there for this
organisation to investigate and learn lessons from incidents? (10)
Task 12: Review of health and safety performance
12. You plan to conduct a health and safety report based on your findings so far.
a) What unsafe acts and behaviours would you include in your report? (6)
b) What other issues might you include in your report? (4)

Element 5 – Physical and Psychological Health
able to:
Do a general risk 5-11 Produce a risk assessment of a workplace which Practical
assessment in their considers a wide range of identified hazards
own workplace – (drawn from elements 5–11) and meets best
profiling and practice standards (‘suitable and sufficient’)
prioritising
risks, inspecting the
workplace,
recognising
a range of common
hazards, evaluating
risks (taking account
of current controls),
recommending further
control measures,
planning actions
5.1 Noise
Physical and Psychological Effects of Noise Exposure
• Exposure to high noise levels over extended periods can cause damage to the hairs in the
cochlea. This leads to noise induced hearing loss.
• Noise induced hearing loss may be temporary (temporary threshold shift) or permanent
(permanent threshold shift).
• Exposure to single very loud noises, such as explosions, can rupture the ear drum or dislocate
bones within the ear. This is a factor in developing tinnitus, a ringing in the ear.
• Noise experienced in the workplace can cause distraction, making it difficult to concentrate.
• Noise in the workplace can also be a factor in developing stress.
• The inability to hear conversations clearly can lead to individuals feeling isolated.
Meanings of Commonly Used Terms in the measurement of Sound
• Sound pressure – the change in the static pressure when a sound wave passes through a
medium. Measured in Pascals (Pa).
• Intensity – the sound energy flowing through an area represented by the amplitude of the sound
curve.
• Frequency – the number of sound oscillations per second. Measured in Hertz (Hz).
• Decibel Scale – a logarithmic scale used to measure the large variation in pressure waves that
can be detected by the human ear.
• dB(A) – an adjusted scale that reduces the impact of sounds at very high and very low
frequencies to reflect how human hearing works.
• dB(C) – an adjusted scale that focuses on the impact that intense sound pressure can have on
the ear from single, very loud sounds such as explosions.
When Exposure Should be Assessed and Comparison with Recognised Standards

• The Control of Noise at Work Regulations sets action values and limit values for noise in the
workplace. They are:
• Lower Action Value:
- 80dB(A) – daily or weekly personal noise exposure.
- 135dB(C) – peak sound pressure.
• Upper Action Value:
• Limit Value:
• As a simple rule, if noise in the workplace is intrusive, but normal conversation is possible, the
probable noise level is 80dB(A).
• Having to shout to talk to someone 2m away equates to 85dB(A).
• These simple rules can indicate that a noise survey is required.
• Noise surveys should be carried out by persons who are competent to use the equipment
required, to interpret and to present the results in a clear manner.
• All noise meters should be calibrated to ensure accuracy.
• Static noise meters may be used to determine noise levels in areas.
• Personal noise dosimeters are used determine noise levels experienced by workers over a
working day.
• If an employee is exposed at or above the lower action level, the employer must carry out a risk
assessment that considers:
- The level, type and duration of exposure.
- The effects of exposure on employees at particular risk.
- The effects on being able to respond to audible warning signals.
- Information provided by manufacturers of work equipment.
- Equipment designed to reduce the emission of noise.
- Exposure to noise at work beyond normal working hours.
- Information obtained through health surveillance.
- The availability of personal hearing protection.
- The risk assessment must be reviewed and, if more than 5 employees, documented.
• Also, at exposure to the lower action level, employers must provide hearing protection to
employees, although its use is not mandatory.
• They must also communicate the risks from noise levels and the control measures in place.
• They must either eliminate or reduce noise levels so far as is reasonably practicable.
• At the upper noise action value, the use of hearing protection is mandatory and the employer
must post signs indicating mandatory hearing protection zones.
• Employees exposed to the upper action value at the ear or greater must undergo health
surveillance.
• Employees must not be exposed to noise levels at or above the exposure limit value.
Basic Noise Control Measures
• Isolation – placing absorbent material in the path of impact or vibration (rubber lining or rubber
mounts).
• Absorption – passing noise through absorbent materials such as foam, some of the noise
energy is absorbed.
• Insulation – placing a solid barrier between the source of noise and employees such as a stud
partition wall.

• Damping – mechanical vibration can be damped by the application of coatings to dissipate
vibration energy before it can build up.
• Silencing – placing boxes or pipes around exhaust emission outlets to reduce noise by
modulating the pressure of the air/gas.
Hearing Protection
• The Purpose of hearing protection is to reduce noise levels inside the ear to a level below the
upper action value.
• Ideally, noise levels will be reduced to below the lower action value, but not to below 70dB(A)
as this interferes with warnings.
• Hearing protection can be provided as ear plugs or ear defenders.
• Ear plugs may be mouldable by the user to fit the ear, custom moulded or have moveable
elements that adjust to the ear. They may be separate, connected by a line or a flexible band.
• Ear defenders may be connected with an adjustable band or mounted on helmets.
• Some ear defenders have in-built communication devices for use in very loud environments.
Ear Plugs – Application and Limitations

• Easy to use, relatively low cost, comfortable for long periods, adjustable, disposable (no
maintenance), compatible with other PPE.
• Poor hygiene if not disposable, inserted incorrectly, may not be the correct size, not the correct
SNR for the noise level.
Ear Defenders – Application and Limitations.

• Less chance of infection, can be fitted to hardhats, clearly visible when monitoring compliance,
easier to fit correctly.
• Can be uncomfortable, can interfere with other PPE, effectiveness reduced by interference with
glasses, need space for hygienic storage, maintenance to keep them clean.
Selection of Hearing Protection

• When selecting hearing protection there are many factors to consider:
- The types of protection and their suitability for the work activity.
- The noise attenuation offered by the protector.
- Compatibility with other PPE and equipment.
- The pattern of the noise exposure.
- The need to communicate and to hear warning sounds.
- The work environment – heat, humidity, dust, dirt.
- Cost of maintenance or replacement.
- Comfort and user preference.
- Medical disorders.
Noise Attenuation Factors

• Manufacturers of hearing protection equipment provide information on the level of noise
attenuation achieved by the protector.
- Single Number Rating – SNR.
- High, Medium, Low values – HML.
- Octave band values.
• These numbers indicate by how much noise will be reduced at the ear.
• Octave band is useful if you know noise levels in frequency bands.
• HML is useful if you know the A-weighted and C-weighted noise levels.
• SNR is useful if you know the C-weighted noise level.
Role of Health Surveillance

• If employees are exposed to noise levels at the ear above the upper exposure action value, the
employer must arrange health surveillance.
• Alternatively, if an individual is particularly sensitive to noise induced hearing loss, they may
require health surveillance at lower noise levels.
• Audiometric testing must be conducted by a competent person.
• Ideally, baseline audiometric tests are conducted before exposure to high noise levels.
• Audiometric testing is usually repeated annually for the first two years and then three-yearly.
• The aims of the health surveillance, the process and the results should be shared with each
employee being tested.

1 Download and read HSE publication indg362 Noise at work.
2 Watch 2 videos on how to insert earplugs correctly.
3 Research how to clean ear defenders.
4 Research audiometric testing.
5 Download and use the HSE’s noise calculators.
https://www.hse.gov.uk/noise/calculator.htm
6 Download and browse part 3 and read part 6 of HSE publication L108 –
Controlling noise at work.

5.2 Vibration
The Effects on the Body of Hand-arm Vibration
• Exposure to hand-arm vibration can cause damage to the nerves, blood vessels and joints of
the hand, wrist and arm if working with vibrating tools for more than a few hours each day.
• Ill-health conditions can include:
- Hand-arm vibration syndrome.
- Vibration white finger.
- Carpal tunnel syndrome.
• Early signs and symptoms include:
- Tingling and numbness in the fingers.
- Not being able to feel things with the fingers.
- Loss of strength in the hands.
The Effects on the Body of Whole-Body Vibration
• The primary ill-health effect from whole body vibration is back pain or the aggravation of existing
back pain.
• The discs in the spine are damaged through either continuous vibration or through heavy shock
loads when driving vehicles.
• Other conditions include:
- Fatigue.
- Stomach problems.
- Headache.
- Loss of balance.
When Exposure Should be Assessed and Comparison with Recognised Standards
• The Control of Vibration at Work Regulations sets values at which vibration is likely to cause
harm and which should not be exceeded.
• Hand-arm Vibration
- Daily exposure lower action value – 2.5m/s2.
- Daily exposure limit value – 5m/s2.
• Whole-body vibration.
- Daily exposure lower action value – 0.5m/s2.
- Daily exposure limit value – 1.15m/s2.
• If an employee is exposed to vibration above the action value, the employer must carry out a
risk assessment that considers:
- The magnitude, type and duration of exposure.
- The effects on employees whose health is at particular risk.
- The effects of vibration on handling, reading indicators and structure joints.
- Information provided by manufacturers.
- Alternative equipment available to reduce exposure.
- Exposure at work beyond normal working hours.
- Specific working conditions such as low temperature.
- Information obtained from health surveillance.
• The employer should reduce vibration levels below the action value as a priority.
• If this is not reasonably practicable, they should reduce vibration levels to as low as reasonably
practicable.
• Employees exposed above the action value must undergo health surveillance.
• They must be given information, instruction and training on the risks and control measures.
• Manufacturers are required to provide information on vibration levels with their products.
• This information should be treated carefully because it does not reflect the media on which the
tool is being used or the age and level of maintenance of the tool.
• Greater accuracy of vibration exposure can be achieved using on-tool or on-person vibration
monitors.
• On-person vibration monitors can be worn as rings or wrist straps that feed data to a computer
for analysis.
Basic Vibration Control Measures
• Alternative Methods of Working.

- Changing the work process to eliminate vibration – welding instead of bolted
connections.
- Mechanisation – using machines to undertake a task rather than hand-held devices
such as excavator-mounted road breakers.
• Low-Vibration Emission Tools.
- Manufacturers constantly develop tools to reduce vibration using internal damping or
isolation.
- Better quality tools tend to have lower vibration ratings due to higher standards of
materials and tighter tolerances.
• Selection of Suitable Equipment.
- Select road going vehicles with longer wheelbase for improved road comfort or vehicles
with suspension able to cope with uneven ground.
- Select equipment that is more comfortable to handle and hold.
- Using the right tool for the job (masonry bit for drilling into masonry) or with the right
power for the task.
• Maintenance Programmes.
- Vehicle maintenance to ensure continued effective shock absorption though the tyres
and shock absorbers.
- Planned preventive maintenance of hand-held tools, sharpening tool bits for optimum
performance and replacement when tools or bits show excessive wear.
• Limiting the Exposure Duration.
- Use of rotas to share work between workers.
- Planning work to include non-vibration tasks during the day.
- Setting limits to ‘trigger time’ each day.
- Using vibration monitors that alert when action or limit values are reached.
• Suitable PPE.
- HSE advises to avoid ‘anti-vibration gloves’. They are not particularly effective and can
increase vibration at some frequencies.
- Keeping the hands warm with gloves can reduce vibration injury.
- Wear warm clothing when driving vehicles in cold temperatures.
Role of Health Surveillance
• Employees exposed above action values must have health surveillance.

• They may also need health surveillance if they are at particular risk when exposed below the
exposure action value.
• Health surveillance uses a tiered system.
- Tier 1 – short questionnaire for people moving into jobs that involve vibration. Consider
fitness to work due to pre-existing conditions.
- Tier 2 – Annual screening short questionnaire to determine if tier 3 referral is required.

- Tier 3 – Clinical assessment by an occupational health professional using a detailed
questionnaire and targeted clinical examination.
- Tier 4 – Diagnosis by a doctor, determine fitness to work.
- Tier 5 – Optional testing by a specialist centre.

1 Download and read indg 175 – Hand-arm vibration.
2 Download and read HSE publication indg 404 – Drive away bad backs.
3 Download and use the HSE’s vibration calculator.
https://www.hse.gov.uk/vibration/hav/vibrationcalc.htm
4 Download HSE publications L140 – Hand arm vibration and L141 – Whole
Body Vibration. Browse both documents for useful content.

5.3 Radiation
Types of Radiation and the Differences
Ionising Radiation
• Alpha or beta particles.
• Gamma rays and X-rays.
• Sufficient energy to produce ions (atoms with a positive or negative charge).
• Greater energy leads to the potential for greater harm.
Non-ionising radiation
• Optical radiation - ultraviolet light, visible light and infrared.
• Electromagnetic fields – power frequencies, microwaves and radio frequencies.
• Insufficient energy to cause ionisation.
• Less harmful than ionising radiation, but more prevalent.
Radiation Health Effects

• Ionising Radiation Ill-health Effects include:
- Dermatitis, burns, cell damage, cataracts and changes to the blood.
• Non-ionising Radiation Ill-health Effects include:
- Microwaves and radio waves cause heating of exposed parts of the body.
- Infra-red rays cause skin burns and cataracts.
- UV light causes skin burns, skin cancer, conjunctivitis and arc eye.
Typical Sources of Radiation
• Alpha particles
- Radon gas that seeps out of the ground and enters buildings. It comes from decaying
uranium in granite bedrock.
• Beta particles
- Used in radiation treatment for cancer and for thickness testing in manufacturing.
• Gamma rays
- Used in radiation treatment for cancer, thickness testing in manufacturing and
sterilisation of bacteria and imaging.
• X-rays
- Generated in medical settings for imaging bone defects and damage.
• Ultraviolet
- The sun, tanning salons, arc welding and cutting, lights and torches, sterilising devices.
• Visible Radiation
- Lasers used in surveying, photocopiers and printers.
• Infrared
- Heat lamps, burning or welding, hot furnaces and fires, the sun.
• Radio Frequency
- Overhead power lines, high powered transmitters.
• Microwaves
- Cooking equipment, telecommunications equipment.
Basic Ways of Controlling Exposure to Radiation
There are three basic methods for controlling exposure to Ionising Radiation:
• Minimise the time spent in areas with elevated radiation levels.
- The radiation dose is linked directly to exposure time.
• Maximise the distance from sources of radiation.
- For gamma and X-rays, radiation dose is inversely proportional to the distance.
Increasing distance by 2 times, decreases exposure by four times.
• Use shielding between the source and workers.
- Shields made of suitable material (lead, concrete, special plastics) will reduce or
eliminate the radiation on the other side.
For non-ionising radiation.

• Ultraviolet
- Provide shelter from the sun, clothing to cover the skin, eye protection, head coverings,
barrier creams, welding masks and screens, reduce exposure time.
• Visible Light
- Warning signs, protective eyewear, matt finishes, enclosing bright light sources.
• Infrared
- Screens and barriers, interlocks, face shields, goggles, clothing to cover the skin,
reducing exposure time by job rotation.
• Radio Frequency and Microwaves
- Containment, restricted access, interlocks, warning signs.
Basic Radiation Protection Strategies

• In addition to strategies to minimise exposure time, maximise distance and to use shielding, the
Ionising Radiation Regulations requires the involvement of two radiation-specific roles.
• Radiation Protection Adviser (RPA).
- Specialist advisors with knowledge of ionising radiation protection. They should be
consulted on:
- Radiation risk assessment and suitable control measures.
- Designation of controlled and supervised areas.
- Handling investigations.
- Drawing up contingency plans.
- Dose assessment and recording.
• The second role is that of a Radiation Protection Supervisor (RPS).

• The employer must appoint one or more RPS to secure day-to-day compliance in line with the
local rules for management of the radiation source(s) to minimise exposure.
• The RPS must be appointed in writing and their role should be defined clearly.
• An RPS will be an employee who is given specific training on the role of an RPS and
understand the local rules for their radiation source.
• The RPS must be given sufficient time to undertake their role.
• The RPS should consult with the RPA.
Role of Monitoring and Health Surveillance
Monitoring
• Where an area has been classified as having potential for harmful levels of radiation, the
employer must arrange for monitoring to confirm area designation or identify changes in
radiation levels.
• Individuals who are exposed to ionising radiation must be monitored to calculate their exposure
levels. These are compared with maximum permitted doses as part of a dose assessment.
• Personal dosemeters are used to measure personal radiation doses.
• Details of radiation doses must be recorded and must be retained for not less than 3- years.
• Radiation monitoring equipment must be tested annually.
Health Surveillance
• Classified person – anyone likely to receive defined radiation doses.
• Any employee identified as a classified person, any person who may have received an
overexposure of radiation and any person certified by a relevant doctor must undergo medical
surveillance.
• The first medical examination is required before commencing work as a classified person.
• The purpose is to confirm that an individual is still fit for work with ionising radiation, including
the fitness to wear the PPE required.
• Medical examinations should be repeated every 12-months.
• Records must be retained until a worker reaches 75 years of age or at least 30 years from their
last medical surveillance entry.
• Medical examinations should be repeated every 12-months.
• Records must be retained until a worker reaches 75 years of age or at least 30 years from their
last medical surveillance entry.

1 Download HSE publication L121- Work with ionising radiation. Browse the
contents page and explore sections of interest in more detail.
2 Read paragraphs 336 – 352 of L121 – Working with ionising radiation.
3 Read the HSE web area for non-ionising radiation.
https://www.hse.gov.uk/radiation/nonionising/index.htm
4 Research personal radiation dosimeter.
5 Download and read HSE guidance document indg 337 Sun protection.

5.4 Mental Ill-health
The Frequency and Extent of Mental Ill-health
• 1 in 4 people will experience a mental health problem of some kind each year in England.
• 1 in 6 people report experiencing a common mental health problem (Like anxiety or depression)
in any given week in England.
• 1 in 5 people have suicidal thoughts, 1 in 14 self-harm and 1 in 15 people attempt suicide.
• Women are more likely to have suicidal thoughts, but men are 3 times more likely to take their
own life than women.
• Suicide is the biggest killer of men under 45.
• Suicide kills more workers than falls every year, one every day.
Common Symptoms of Workers with Poor Mental Health
• Common signs of poor mental health include:

- Lower mood.
- Being more irritable.
- Emotional highs and lows.
- Being withdrawn.
- Reduced concentration.
- Increased anxiety.
- Wanting to be alone.
- Not using the camera on video calls.
- Hard to reach on phone, e-mail and in person.
- Physical health – weight, hygiene, low immunity, fatigue.
Defined Mental Ill-health Conditions

• Depression – a persistent sadness and a lack of interest or pleasure in previously rewarding or
enjoyable activities.
• Anxiety Attacks – a sudden and intense episode of fear and anxiety either for no reason or
linked to specific triggers.
• Panic Attacks – similar to anxiety attacks but with physical symptoms including shortness of
breath, palpitations, shaking, sweating, faintness and chest pain.
• Post-traumatic stress disorder (PTSD) – persistent, distorted thoughts and feelings about the
cause or consequences of a trauma. Feelings of blame, persistent negative emotional state
(fear, horror, anger, guilt or shame). Lack of interest in participation.
The Causes of and Controls for Work-Related Mental Ill-health
The HSE’s management standards identify six causes of stress.

• Demands – the demands placed on workers exceed their ability to cope.
• Control – workers feeling that they have no control over their work.
• Support – workers feeling isolated and alone with no help.
• Relationships – conflict with co-workers or line managers.
• Role – workers don’t understand their role or they have conflicting roles that won’t allow them to
perform well in both roles.
• Change – workers feel subjected to change with no say in the way the change will be managed
or whether it is needed at all.
Controls for reducing work-related stress include:

• Demands – employees indicate they are able to cope with the demands of their job.
• Control – employees indicate they are able to have a say about how they work.
• Support – employees indicate they receive adequate information and support from their
colleagues and superiors.
• Relationships – employees indicate they are not subjected to unacceptable behaviours such as
bullying at work.
• Role – employees indicate they understand their role and are able to meet its requirements.
• Change – employees indicate the organisation engages them frequently when undergoing an
organisational change.
• All - Systems are in place to respond to individual concerns.
Home-Work Interface
• Employees have a life beyond the workplace. While the workplace can cause poor mental
health, so can issues from home.
• Commuting – many employees commute long distances leading to long working days, fatigue
and limited opportunity for down time.
• Childcare – is expensive and often relies on family members. When childcare arrangements
fail, finding solutions can be hard.
• Relocation – moving to a new house is one of the most stressful times in anyone’s life and can
extend for many weeks or months.
• Care of frail relatives – many workers care for others before they begin work and after work
each day. They rarely have a rest from being a carer and this can lead to exhaustion and
mental health issues.
Recognition that Most People with Mental Ill-health Can Continue to Work
Effectively
• All of us have poor mental health from time to time. In most circumstances, we are able to
continue to work effectively and our mental health can improve or worsen during the day or
week. Talking about how we are feeling can often help.
• Some individuals are diagnosed with mental health disorders. These individuals can still work
effectively through:
- Medication that helps to address hormonal imbalances in the brain.
- Individuals being aware of their triggers and being able to avoid them.
- Individuals recognising the early signs of an episode and either removing themselves
from a situation or asking for help.

8 Dimensions of
Wellbeing
Unit 5.4 Self-study activities Completed

✓
1 Download and read HSE publication indg 430 – How to tackle work-related stress.
2 Explore the Mind website on the frequency and types of mental ill-health.
https://www.mind.org.uk/information-support/types-of-mental-health-problems/statistics-and-facts-
about-mental-health/how-common-are-mental-health-
problems/#:~:text=1%20in%204%20people%20will,week%20in%20England%20%5B2%5D.

5.5 Violence at Work
Types of Violence at Work
• Violence at work is defined as ‘any incident in which a person is abused, threatened or

assaulted by another person in circumstances relating to their work.’
• Violence can take many forms:
- Physical – being struck or being threatened with weapons.
- Psychological – repeated theft or hiding of possessions, locking someone in or out,
threats of violence.
- Verbal – shouting or screaming at someone, use of foul or abusive language.
- Bullying and harassment – teasing, name calling, constant criticism, blocking promotion,
limiting opportunities, setting someone up to fail, exclusion.
Jobs and Activities Which Increase the Risk of Violence
• Police and community enforcement officers.

• Fire & Rescue Service.
• NHS workers and care home workers.
• Social workers.
• Customer service workers.
• Lone workers.
• Those who encounter individuals under the influence of drugs and alcohol.
• Workers who handle money – banks, shop keepers, security.
• Those who handle valuables – jewellers.
Effective Management of Violence at Work
• There are four stages in the effective management of violence.

• Stage 1 – Finding out if you have a problem – identify hazards.
- Ask employees via managers, supervisors or safety representatives.
- Use a short questionnaire and share the results.
- Keep detailed records of incidents, including verbal abuse and threats.
- Classify all incidents – physical or verbal, degree of harm.
- Try to predict what might happen – if existing patterns of violence continue, what are the
possible outcomes.
• Stage 2 – Deciding what action to take.
- Decide who might be harmed and how.
- Identify potentially violent people in advance.
- Evaluate the risk – consider if existing precautions, are adequate.
- Provide training and information to spot early signs and how to avoid, manage or cope.
Provide information about individuals with a history of violence.
- Consider physical security measures – cameras, alarms, coded locks, wide counters,
raised floors of screens.
- Change the way the job is done – regular contact, avoiding lone working, arranging
transport.
- Record the findings, review and revise the risk assessment.
• Stage 3 – Take Action
- Develop a clear policy on violence at work.
- Develop supporting procedures.
- Implement the control measures identified in Stage 2.
• Stage 4 – Check what you have done.
- Check regularly how well the arrangements are working.
- Consult employees or representatives.
- If violence is still a problem, revisit stages 1 and 2.
• Looking After Victims is an important part of managing violence. They may need help to
respond to avoid long-term distress.
• Debriefing - make arrangements for victims to talk through their experience soon after an event.
• Time off work – individuals react differently and may need differing time to recover. Some
individuals may respond to counselling.
• Legal help – in serious cases, they may need legal help in dealing with criminal or civil cases.
• Other employees – may need help or guidance to help them react appropriately.

1 Download and read HSE publication INDG 69 – Violence at work.
2 Browse the HSE violence web area. https://www.hse.gov.uk/violence/
3 Download and browse through HSE publication HSG 133 Preventing
violence to retail staff. https://www.hse.gov.uk/pubns/priced/hsg133.pdf

5.6 Substance Abuse at Work
Risks to Health and Safety from Substance Abuse
• Substance abuse can include alcohol, legal or illegal drugs and solvents.
• Physical damage caused by substance abuse can include:
- Heart – high blood pressure, irregular heartbeat, stroke.
- Liver – inflammation, alcoholic hepatitis, fibrosis, cirrhosis.
- Kidneys – acute kidney failure and chronic kidney disease.
- Pancreas – inflammation blood vessels that inhibits digestion.
- Immune system – increased susceptibility to diseases.
- Lungs – chronic respiratory disease, slow breathing.
- Brain – mental illness.
• Substance abuse can lead to behavioural and emotional changes.
- Sleeplessness or insomnia, changes in appetite.
- Clumsiness, increase in accidents.
- Impaired judgement and poor coordination.
- Altered perceptions and emotions, paranoia.
- Irritability, confusion, anxiety, paranoia or violent behaviour.
- Loss of interest, losing touch with reality.
- Sparse or incoherent speech.
- Difficulty keeping track of time, reduced short term memory.
- Absence from work, reduced productivity.
Control Measures to Reduce Risks from Substance Abuse at Work
What are the issues and what to look out for?
• Look for Warning Signs that Could Indicate Drug or Alcohol Misuse.
- Unexplained or frequent absences.
- A change in behaviour.
- Unexplained dips in productivity.
- More accidents or near-misses.
- Performance or conduct issues.
• Consult Your Employees.

- Consult directly with employees or with representatives.
- Ask employee what they know about the effects of drugs and alcohol and the rules on
their use in the business.
• Look at Safety Critical Work.

- Identify activities where drug or alcohol misuse could have serious outcomes.
- Examples include using machinery, using electrical equipment, driving or operating
heavy lifting equipment.
- If an employee in a safety critical role seeks help for substance misuse, they may need
to be transferred to another role.
• Develop a Policy.
- Ensure your policy includes support for those who ask for help.
- Involve employees in developing the policy.
- If you test for drugs and alcohol, include the arrangements in the policy.
• Screening and Testing for Drugs and Alcohol.

- Think carefully about what to screen for and what you will do with the information it
gives you.
- Consider screening for safety critical roles.
- Remember that employees must consent to screening.
- Screening must be carried out properly to ensure accuracy.
- Screening will not solve problems but is part of a wider strategy.
- Employees may decline a test but may face disciplinary action.
• Support Employees with a Drug or Alcohol Problem.

- Make sure employees know about the support you offer.
- Raise awareness through training.
- Brief managers and supervisors on recognising the signs, your rules, what to if they
suspect or are informed about a problem.
- Deal with employee requests for help discreetly and confidentially but consider the legal
position if they have broken the law.
- Drug or alcohol dependence is a recognised medical problem.
- Encourage employees to seek help from their GP or a specialist agency. Give them
time off to get the support they need.
- Think carefully whether substance misuse warrants dismissal. An employment tribunal
may find you dismissed them unfairly.

1 Read the HSE web area on substance misuse.
https://www.hse.gov.uk/alcoholdrugs/
2 Browse the website Talk to Frank. https://www.talktofrank.com/
3 Browse the website Drink Aware. https://www.drinkaware.co.uk/

Element 6 – Musculoskeletal Health
able to:
prioritising
workplace,
recognising
a range of common
hazards, evaluating
control measures,
planning actions
6.1 Work-related Upper Limb Disorders
Meaning of Terms
• Musculoskeletal Disorders (MSDs)

- Any injury, damage or disorder of the joints or other tissues in the upper/lower limbs or
the back.
• Work-related Upper Limb Disorders (WRULDs)

- Aches and pains in the shoulders, arms, wrists, hands and fingers as well as in the neck
cause by work.
• WRULDs are a subset of MSDs.
Ill-health Conditions from Poorly Designed Tasks and Workstations
• Carpal Tunnel Syndrome

- Pressure on a nerve in the wrist caused by tendons or ligaments becoming inflamed.
This leads to tingling, numbness and pain in the hand and fingers.
• Tenosynovitis
- Inflammation of the fluid-filled sheath that surrounds a tendon causing joint pain,
swelling and stiffness.
• Tendonitis
- A tendon swells after a tendon injury causing pain, stiffness and restricted movement.
• Osteoarthritis
- The most common form of arthritis causing joint pain and stiffness, swelling,
tenderness, grating or crackling sounds.
• Peritendinitis
- Inflammation of a tendon and its sheath, usually in the hands and wrists, feet and
ankles as a result of continued use. Painful and may temporarily disable the affected
part.
• Epicondylitis
- Small tears or inflammation of the muscles near the bony lump on the outside of the
elbow caused by overuse of the muscle. This causes pain on the outside of the elbow
and difficulty extending the arm.
• Repetitive Strain Injury (general term for WRULDs)
- Pain felt in muscles, nerves and tendons caused by repetitive movement and overuse.
It can cause pain, aching, tenderness, stiffness, throbbing, tingling, numbness,
weakness or cramp.
Avoiding / Minimising Risks from Poorly Designed Tasks or Workstations
Factors to consider on site include:

• Change the Task and Equipment
- Automate the task / use machines to excavate or move.
- Perform a wider range of tasks to reduce repetition.
- Improve ergonomic design of work benches and surfaces.
- Provide hand tools that allow a reduction in the force required.
- Introduce frequent breaks from the task.
- Share the task among workers to reduce overall exposure time.
- Use equipment with adjustability or the right size.
- Use more suitable equipment (weight, power).
• Change the Environment

- Improve the temperature (avoiding the cold).
- Improve the lighting, enough to see without stooping, avoid glare.
- Improve the psychosocial environment – work pressure, opportunity for social
interaction, control over the work rate.
• Change the Individual

- Assign tasks to individuals better suited to the task.
- Gradual introduction to tasks for new starters.
- Training, information and instruction on correct and safe methods.
- Exercises to improve body strength and flexibility.
Factors to consider in the site office include:

• Change the Task or Equipment
- Provide an adjustable chair with lumbar support.
- Change the height of the screen – top of screen at eye level.
- Provide a separate mouse and keyboard.
- Provide a bigger desk or clear the existing desk of clutter.
- Provide a footrest if required.
- Take regular breaks from the screen.
• Change the Environment

- Provide blinds, improve the lighting to reduce glare.
• Change the Individual

- Information and instruction on how to set up a workstation.

1 Research WRULDs including carpal tunnel syndrome, tenosynovitis,
tendinitis, peritendinitis and epicondylitis.
2 Download HSE publication L26 – Work with display screen equipment.
Understand the definition of ‘User’. Study appendix 5.
3 Browse the HSE web area for musculoskeletal disorders.
https://www.hse.gov.uk/msd/msds.htm

6.2 Manual Handling
Common Types of Manual Handling Injury
• Sprain – damage to the ligaments through overstretching.

• Strain – damage to muscles or tendons through overstretching.
• Broken bones – usually to the toes or foot when dropping heavy objects.
• Slipped disc – bulging disc pressing on the nerves caused by wear and tear of the disc over
time and subsequent pressure. Causes intense pain.
• Herniated disc – burst disc usually after a bulging disc and further damage. Causes even more
intense pain over a longer period.
• Cuts – typically to the hands from contact with sharp objects.
• Inflammation – caused by abrasion when handling rough surfaces.
Good Handling Technique for Manually Lifting Loads
• Think before handling or lifting – what is the load, how heavy is it, are the route and surfaces
clear?
• Aim to keep the load close to the waist, heaviest side to the body.
• Adopt a stable body position – one leg slightly in front.
• Ensure a good hold on the load – grip with the hands close to the body.
• Moderate flexion (slight bending) of the back, hips and knees.
• Don’t flex the back during lifting – start the lift with strong leg muscles.
• Avoid twisting or leaning – especially when the back is bent.
• Keep the head up when handling and move smoothly.
• Don’t lift or handle more than can be managed easily.
• Put the load down, then adjust its position.
Avoiding / Minimising Manual Handling Risk
• HSE Guidance document L23 provides direction on how to carry out manual handling risk
assessment.
• First, use the manual handling risk filter to separate those tasks that are low risk and do not
need to be assessed from those tasks that are high risk and do need a full assessment.
• Determine if the task can be avoided by using mechanical solutions.
• If manual handling cannot be avoided, consider key factors to understand what threats exist
and to identify solutions for each threat. Consider the
- Task, Individual, Load, Environment and Other Factors.
Task
• Move the load closer to the body or remove obstructions.
• Improve the body posture – avoid twisting, stooping or reaching upwards.
• Avoid excessive lifting or lowering distances or carrying distances.
• Avoid excessive pushing or pulling of loads.
• Avoid the risk of sudden movement of loads.
• Reduce the duration over which the task is undertaken.
• Ensure sufficient rest breaks and recovery periods.
• Allow the worker some control over the work rate.
Individual
• If the load requires unusual strength or height, assign the task to someone who is physically
better suited.
• Consider providing employees with instruction and training to improve strength and flexibility.
• Select carefully the handling tasks assigned to employees who are pregnant or have a health
problem.
• Provide training or instruction on how to carry out tasks or to use handling equipment.
Load
• Reduce the weight by splitting the load.
• Provide handles with special tools or slings.
• Reduce the size of the load by dismantling or splitting it.
• Repack the load to make it less unwieldy.
• Pack the load in a suitable container to make it easier to hold.
• Pack or strap the load to prevent it shifting.
• Pack the load to protect sharp edges.
• Wear gloves with a degree of mechanical protection and grip.
Environment
• Create more space to allow freedom to adopt a good posture.
• Improve the floor surface to remove uneven, unstable or slippery conditions.
• Highlight changes in level at slopes and steps or choose a route that avoids steps.
• Avoid extremes of temperature or humidity.
• Provide clothing to counteract extremes of temperature.
• Choose routes that avoid gusts of wind.
• Improve lighting to improve visibility of floor conditions and obstructions.
Other Factors
• Ensure that the clothing worn or PPE does not restrict free movement.

1 Research slipped disc and herniated disc to understand the mechanism of
injury and treatment.
2 Download HSE publication L23 – Manual handling. Read the appendices to
understand how to use the risk filter and detailed manual handling
assessment. https://www.hse.gov.uk/pubns/priced/l23.pdf

6.3 Load-handling Equipment
Hazards and Controls for Common Load Handling Equipment
Pallet Trucks, Sack Trucks and Wheelbarrows

• Hazards
- Excessive force leading to MSDs.
- Running over feet or collision with objects or people.
- Loss of loads – turning too quickly, unstable, sudden moves.
- Tripping and falling over – unable to see obstacles.
• Controls
- Use the correct handling aid for the task and the load.
- Maintain the equipment in good order.
- Keep routes clear of obstructions and debris.
- Avoid rushing, use good handling technique.
People Handling Aids

• Hazards
- Sling too small – discomfort and pain.
- Sling too large – patient slipping out.
- Wrong sling – inadequate support.
- Incompatible hoist and sling – insecure attachment.
- Failure of equipment due to poor maintenance.
- Leaving patients in slings for too long – risk of falling.
- Hoist overturning when moved over uneven surfaces.
- Not using the safety harness attachment – falling out.
- Instability of patient when moving – collision injury.
• Controls
- Select the correct hoist for the task – bathing, toileting.
- Select the correct sling for the person – fit and SWL.
- Determine and use the correct number of handlers.
- Thorough examination of all lifting equipment.
- Pre-use checks of hoists and slings.
- Develop safe systems of work for handling people.
- Train handlers and supervisors in the use of hoists and slings.
- Check that patient lifting plans are being followed.
- Maintain hoists, slings and tracks.
- Maintain the floor to minimise uneven surfaces.
Forklift Trucks
• Hazards
- Overturn – turn too fast, move with load raised, drive on slopes.
- Collision with structures, other plant, or people.
- Loss of loads – not secured, uneven ground, unbalanced.
- Failure of load bearing component – load dropped.
- Striking overhead obstructions.
- Bogging down due to soft ground.
Controls
- Select the forklift truck rated for the likely loads and terrain.
- Avoid exceeding the safe working load.
- Select and secure attachments suitable for the load.
- Pre-use check and regular inspection, examination.
- Only used for lifting people with correct equipment and test.
- Operated by competent operators.
- Prevent unauthorised use.
- Secure loads before lifting.
- Sound the horn at potential collision locations.
- Maintain clear routes for movement.
Lifts
• Hazards from operation
- Loss of power – lift stranded.
- Mechanical breakdown – lift stranded.
- Unexpected movement – losing balance and falling.
• Hazard during maintenance.
- Moving machinery – entanglement, contact, entrapment.
- Falls from height – open lift doors.
- Contact with live electrical equipment.
- Handling heavy components.
• Controls
- Thorough examination.
- Regular maintenance and cleaning.
- Safe working load limiters.
- Guarding to moving parts.
- Locked plant rooms.
- Backup power supply.
- Insulating mats in front of control panels.
- Barriers during lift maintenance at landings.
- Isolation.

Hoists (for loads and people)
• Hazards
- Overturn or collapse due to overload or incorrect set up.
- Loss of loads – not secured or overtop.
- Failure of a load bearing component and the load dropping.
- Striking protruding objects.
- Crushing people located above or beneath the load.
- Contact with moving parts.
- Failing in the raised position.
• Controls
- Secured to the supporting structure and/or set up correctly.
- Select the correct hoist for the likely loads.
- Never overload the hoist.
- Secure loads before lifting to prevent movement.
- Guarding to prevent access to moving parts and crush zones.
- Competent operators.
- Pre-use checks and regular inspection.
- Clearly marked safe working loads.
- Safety devices to prevent overrun and unintended movement.
- Prevent operation by unauthorised persons.
Conveyors
• Hazards
- Fire – through friction.
- Moving parts – entanglement, friction, abrasion, pinch points.
- Objects falling.
- Overturning (temporary conveyors).
• Controls.
- Regular maintenance and inspection.
- Fire-resistant conveyor belts.
- Guarding to moving parts and pinch points.
- Guarded areas below overhead rail conveyors
- Warnings when conveyors move.
Cranes
• Hazards
- Collapse or overturning due to overloading.
- Failure of load bearing parts leading to structural failure.
- Loss of loads.
- Collision with structures, equipment or people.
- Contact with or proximity to overhead services.
- Collapse of a tower crane operator.
• Controls
- Load bearing capacity suitable for the loads and radius.
- Competent people to operate, set up, sling and supervise.
- Avoid operation in adverse weather conditions.
- Non-essential people kept away, avoid lifting over people.
- Pre-use checks of the lifting equipment and loads.
- Thorough planning of the lift and lift supervision on site.
- All equipment labelled with the safe working load and tested.
- Safe working load indicators fitted and operational.
- Only equipment intended & tested for lifting people to lift people.
- Sufficient clear space to move and good communication.
- Rescue plan for tower crane operators.
Requirements for Lifting Operations
Strong and Stable Equipment

• Regulation 4 of the Lifting Operations and Lifting Equipment Regulations 1998 (LOLER) states
that all lifting equipment is of adequate strength and stability for each load and that every part of
a load and its attachments used in lifting must be of adequate strength.
• Calculations may be needed to determine forces involved in a lift.
• Factors of safety are applied to account for dynamic loading.
• The factored forces must not exceed the safe working loads of the lifting equipment.
• The load must be capable of being lifted without collapse or significant deformation.
• The ground must be able to support the loads imposed by the lift.
Positioned and Installed Correctly

• Regulation 6 of LOLER states that lifting equipment shall be positioned to reduce the risk of the
load or equipment striking a person, drifting, falling freely or being released unintentionally.
• Avoid locations where a person could be crushed between the moving lifting equipment any
fixed feature or stationary vehicle.
• Avoid lifting loads over people – create demarcated no-go areas or provide crash decks to
withstand the likely forces of a falling load.
• Prevent unauthorised access to lifting areas.
• Plan lifts to select load paths that minimise the risk of collision.
• Ensure loads are properly secured.
• Use tag lines or similar to control loads.
Visibly Marked with Safe Working Load

• Regulation 7 of LOLER sets out requirements for marking of SWLs.
• The SWL must be clearly marked on all machinery and accessories.
• Where loads can be lifted in different positions, the safe working loads for those positions must
be shown. (Crane radius charts, jib position markings)
• Accessories for lifting must be marked to indicate the characteristics necessary for their safe
use e.g. for use only with other devices.
• Lifting equipment designed to lift people must be clearly marked with the SWL and maximum
number of people.
• Lifting equipment that could be used in error for lifting people must be marked clearly that it
must not be used for that purpose.
Organising Lifting Operations

• Regulation 8 of LOLER sets out requirements for organising lifting operations.
• Every lifting operation must be planned by a competent person.
- Adequate practical and theoretical knowledge.
- BS7121 for cranes refers to an ‘Appointed Person’.
- If two or more items of lifting equipment, procedure required.
- Routine operations can use a standard plan.
• Every lifting operation must be supervised by a competent person – in proportion to the risk.
• Every lifting operation must be carried out in a safe manner.
Special Requirements for Lifting Equipment used for Lifting People

• Regulation 5 of LOLER requires equipment used for lifting people:
- Prevents a person using being crushed, trapped, struck or falling from the carrier.
- Has devices to prevent the carrier falling.
- Is such that a person trapped in the carrier is not exposed to danger and can be freed.
- Rope or chain used to support carriers have an enhanced safety coefficient.
- The rope or chain is inspected by a competent person every working day.
Periodic Inspection and Examination / Testing of Lifting Equipment

• Regulation 9 of LOLER sets out conditions for thorough examination. Thorough examination
frequencies are:
- Lifting equipment – 12-months.
- Lifting equipment used for lifting people – 6-months.
- Lifting accessories – 6 months.
- Lifting equipment that depends on how it is installed – after assembly and before first
use.
- After an event that could jeopardise safety.
• Evidence of thorough examination must be provided when equipment passes from one
company to another.
• Check for current thorough examination for all lifting equipment and accessories, look for
coloured tags and dated certificates.

1 Download and read HSE guidance document hsis 3 – Getting to
grips with hoisting people. https://www.hse.gov.uk/pubns/hsis3.pdf
2 Download HSE guidance L113 – Safe use of lifting equipment. Read
the bold text from pages 23 – 56.
3 Download and read HSE guidance document indg 339 – Thorough
examination and testing of lifts.
3 Research the difference between a ‘contract lift’ and ‘crane hire’.

Element 7 – Managing Risk – Chemical and Biological Agents
able to:
prioritising
workplace,
recognising
a range of common
hazards, evaluating
control measures,
planning actions
7.1 Hazardous Substances
Forms of Chemical Agent
Chemical Agents can be presented in many different forms:

• Solids – rat poison.
• Dusts – wood dust, cement dust.
• Fibres – asbestos, man-made mineral fibre.
• Fumes – weld fume, vehicle exhaust fume.
• Gases – carbon monoxide, chlorine.
• Mists – spray paint suspended in liquid droplets.
• Vapours – a liquid in gaseous state (solvents).
• Liquids – thinners, petrol, adhesives.
Forms of Biological Agent
Biological Agents can be presented in different forms:

• Fungi – a group of spore-producing organisms feeding on organic matter including moulds,
yeast, mushrooms and toadstools.
- Examples include Aspergillus found in damp buildings.
• Bacteria – unicellular organisms that have cell walls but lack an organised nucleus. Some can
cause disease.
- Examples include – legionella, anthrax, leptospira, tetanus.
• Viruses – a small parasite that cannot produce by itself but uses cell machinery to produce
more viruses.
- Examples include – COVID-19, influenza, Hepatitis C.

Health Hazards Classifications.
The Classification, Labelling and Packaging of Substances and Mixtures Regulations require the
labelling of hazardous substances. Each health hazard has numbered classifications to indicate how
serious the hazard is, 1 being the most severe.
• Acute Toxicity.
- 1&2 fatal, 3 toxic or 4 harmful in small quantities.
- Contact with skin, taken orally or inhaled.
• Skin Corrosion / Irritation.
- 1 Causes severe skin burns and eye damage.
- 2 Causes skin irritation.
• Serious Eye Damage / Eye Irritation.
- 1 Causes serious eye damage.
- 2 Causes serious eye irritation.
• Respiratory or Skin Sensitisation.
- 1 May cause allergy or asthma symptoms or breathing difficulties.
- 1 May cause an allergic skin reaction.
• Germ Cell Mutagenicity.
- 1 May cause genetic defects.
- 2 Suspected of causing genetic defects.
• Carcinogenicity.
- 1 May cause cancer.
- 2 Suspected of causing cancer.
• Reproductive Toxicity.
- 1 May damage fertility or the unborn child.
- 2 Suspected of damaging fertility or the unborn child.
- May cause harm to breast-fed children.
• Specific Target Organ Toxicity (single and repeated exposure).
- 1 Causes damage to organs.
- 2 May cause damage to organs.
- 3 May cause respiratory irritation or may cause drowsiness.
• Aspiration Hazard.
- 1 May be fatal if swallowed and enters airway.
• Depending on the severity of inhaling, swallowing or coming into contact with the substance, a
standard hazard statement is assigned.
• For acute toxicity, the hazard statement for hazard categories 1 and 2 is ‘H300 – Fatal if
swallowed’.
• For hazard category 3 the hazard statement is ‘H301 Toxic of swallowed’ and for 4 it is ‘H302 –
Harmful if swallowed’.
• Standard, numbered precautionary statements are listed to mitigate the hazard for prevention,
response, storage and disposal.
• P264 – Wash…thoroughly after handling.
• P270 – Do not eat, drink or smoke when using this product.
• P262 – Do not get in eyes, on skin or clothing.

1 Research Aspergillus on the HSE website and follow the links to the NHS
information page.
2 Browse pages 140 – 179 of the ECHA Guidance on labelling and packaging.
https://echa.europa.eu/documents/10162/23036412/clp_labelling_en.pdf/89628d94-
573a-4024-86cc-0b4052a74d65

7.2 Assessment of Health Risks
Routes of Entry of Hazardous Substances into the Body
There are four routes for a hazardous substances to enter the body.
• Inhalation
- Most likely to cause harm, it can lead to damage to the lungs or pass through to the
blood.
• Ingestion
- Transferred either in food or drink or via fingers when eating or smoking.
• Absorption.
- Substances absorbed into the skin and possibly into the blood.
• Injection.
- Entering the blood through needles or cuts/abrasions in the skin.
The Body’s Defence Systems
Superficial Defence Mechanisms

• Nose – particles and organisms trapped by nasal hairs and mucus.
• Respiratory tract – mucus, coughing and sneezing to expel material.
• Ciliary escalator - fine hairs move material up towards the throat.
• Mouth – saliva neutralises small quantities of hazardous substances.
• Gastrointestinal tract – stomach acid breaks down substances and organisms, vomiting and
diarrhoea to remove substance.
• Skin – oily layer, sacrificial dead skin cells, blistering.
Cellular mechanisms
• White blood cells (macrophages) – attack and destroy invading particles.
• Adrenaline – stimulates the heart rate, contracts blood vessels and dilates air passages to
increase blood flow to the muscles and lungs.
• Histamine – protection from allergens.
• Blood clotting and coagulation – forms a barrier to bacteria entry at cuts.
• Heparin – a blood thinner that prevents clots in the lungs and liver.
• Repair of damaged tissue by defender cells such as repairing damaged lung tissue from silica
inhalation.
• Lymphatic system – a drainage system for foreign substances.
Factors that Need to be Taken into Account When Assessing Health Risks
The ACoP to the COSHH Regulations states that when assessing health risks, the employer should
take into account:
• The physical form of the substance – solid, liquid, gas etc.
• How exposure occurs
- Inhalation, ingestion, absorption or injection.
- The body’s defences and any existing vulnerability.
• The health effects that exposure to the substance can cause.
• The way in which the substances are used.
• The effectiveness of existing control measures
• The degree of exposure:
- How much of the substance and its concentration?
- The duration and frequency of exposure.
Sources of Information
When assessing risks from hazardous substances, consult the following information sources.
• Product Labels on hazardous substance containers.
• Safety data sheets – they must be provided by the supplier.
• Observation of how the substance is stored, used and disposed of.
• Talking to workers who work with or are exposed to the substance.
• Accident and ill-health records.
• The results of air quality monitoring.
• The results of health surveillance.
• Guidance documents such as HSE publication EH40.
A Safety Data Sheet must be provided by the supplier/manufacturer and contain:

• Identification of the substance / mixture.
• Hazard identification.
• Composition and information on ingredients.
• First aid measures.
• Fire-fighting measures.
• Accidental release measures.
• Handling and storage.
• Exposure controls and personal protection.
• Physical and chemical properties.
• Stability and reactivity.
• Toxicological information.
• Ecological information.
• Disposal information.
• Transport information.
• Regulatory information.
Limitations of Information Used when Assessing Risks to Health
• Some of the information contained in safety data sheets is complex and requires specialist
knowledge to explain its relevance and application.
• Substances new to the market may have limited toxicological information due to a lack of
practical experience and research.
• The information represents current knowledge and may change with time.
• The information cannot take account of all possible combinations of substances to which
individuals are exposed at the same time.
• The information is general and does not take into account the specific circumstances of work.
• Recommendations may not be effective at protecting the most susceptible workers.
Role and Limitations of Hazardous Substance Monitoring
• The most common form of substance monitoring is air quality monitoring.

• Devices can be used to measure the concentration of a hazardous substance in the air.
• The concentration measured can be compared with recommendations for safe concentrations
to determine if workers are at risk.
• Devices for measuring air quality include:
- Stain tube detectors – hand pumped or mechanically pumped.
- Static sampling pumps – measuring the background concentration in a room.
- Personal air sampling pumps – pumps worn on the person with the sampling tube outlet
close to the face to simulate actual exposure.
Limitations of hazardous substance monitoring include:

• The design and implementation of meaningful monitoring requires competence. Poor planning
and execution may lead to invalid results.
• Air quality monitoring only considers airborne substances and will not factor in other routes of
entry.
• Background monitoring will not represent actual workers’ exposure.
• Stain detector tubes may be used incorrectly.
• There may be cross contamination of similar substances.
• The reference period selected for sampling may not be an accurate reflection of true exposure.
• Individuals with personal air sampling pumps may experience different levels of exposure to
other workers.

1 Download and read HSE Guidance document indg 136 Working with
substances hazardous to health.
2 Research chemical stain detector tubes.
3 Research personal air sampling including at least one video.
4 Download and read HSE Guidance document G409 Exposure
measurement: air sampling.
https://www.hse.gov.uk/pubns/guidance/g409.pdf

7.3 Occupational Exposure Limits
Purpose
• An occupational exposure limit (OEL) or workplace exposure limit (WEL) represents the
concentration of a hazardous substance in the air over a reference period that must not be
exceeded if worker health is not to be threatened.
Long-term and Short-term Limits.

• Most substances have two WELs for short-term exposure (acute effects) and long-term
exposure (chronic effects).
• Long-term limit protects against the chronic effects of exposure over extended periods that can
have a major impact on health.
• Short-term limits protect against the acute effects of exposure, such as inflammation or
irritation, usually at higher concentrations, but for shorter periods.
• If no STEL is provided, limit short-term exposure to 3 x LTEL.
Why Time-weighted Averages are Used

• Most workers work for eight hours in a working day.
• The data on ill-health effects and the concentrations at which those ill-health effects occur are
based on exposure during typical working days.
• Exposure during a working day will vary depending on the activity and location.
• A worker may be exposed to high concentrations when mixing a substance several times each
day and then to lower concentrations in between.
• These exposures are averaged out over the working day to take account of the total
contaminant inhaled during an 8-hour day.
• A worker exposed for 12-hours would need to multiply their average exposure by 1.5 to
compare with an 8-hour TWA.
Limitations of Occupational Exposure Limits
• They assume that workers are exposed to only one substance at a time, whereas they are
typically exposed to multiple substances that could combine to create more serious ill-health
effects.
• They do not account for multiple routes of entry for the same substance.
• Some individuals may be more susceptible than others.
• The limits may be biased towards the typical population of western Europe and the US.
• The WELs are based on current technical knowledge. They change as new information on ill-
health effects comes to light.
• They need to be re-calculated if working in pressurised environments.
Comparison to Recognised Standards
• HSE publication EH40 contains a list of the workplace exposure limits (WEL) for hazardous
substances. WELs are British occupational exposure limits (OELs).
• The absence of a substance from the list of WELs does not indicate that it is safe, only that
exposure should be controlled to a level which workers could be exposed without any adverse
effects on health.
• The results of air monitoring can be compared with the WELs for a substance to determine of
workers have been put at risk.
• Actual TWA = ((time 1 x conc. 1) + (time 2 x conc. 2)) / 8.
• If a worker is exposed to 10mg/m3 of softwood dust for 6 hours, their TWA exposure would be
(6 x 10) / 8 = 7.5mg/m3.
• This is greater than the WEL for softwood dust in EH40 = 5mg/m 3.
• This means that the worker’s health is at risk.

1 Download HSE Publication EH40. Read the introduction and then locate the
STELs and LTELs for Portland cement, softwood and hardwood.
https://www.hse.gov.uk/pubns/priced/eh40.pdf

7.4 Control Measures
Prevention and Control of Exposure
• Regulation 7 of COSHH requires employers to prevent exposure to hazardous substances, or

where this is not reasonably practicable, to adequately control, exposure.
• The first option is to substitute the hazardous substance for a non-hazardous substance or a
process that does not involve hazardous substances.
• Where substitution is not reasonably practicable, the employer shall apply protection measures
including, in order of priority:
• Design and use systems and engineering controls to contain and minimise the release
of the substance.
• Control exposure at source by using ventilation systems and organisational measures.
• Provide suitable personal protective equipment.
• These measures must cater for handling, storage and transport.
• They must include suitable maintenance arrangements.
• They should reduce to a minimum the number of employees exposed, the level and duration of
exposure and the quantify of the substance present in the workplace.
• They should include arrangements for ventilation and hygiene.
Principles of Good Practice
• Exposure will only be treated as adequate if:

- The principles of good practice set out in schedule 2A are applied.
- Any workplace exposures are not exceeded.
The Principles of Good Practice are:
a) Design and operate processes and activities to minimise emission, release and spread.
b) Take into account all relevant routes of exposure when developing control measures.
c) Control exposure by measures that are proportionate to the health risk.
d) Choose the most effective control options that minimise the escape and spread of substances.
e) Where adequate control of exposure cannot be achieved by other means, provide PPE in
combination with other control measures.
f) Check and review regularly that control measures continue to be effective.
g) Inform and train all employees on the hazards, risks and control measures for the substances
then encounter.
h) Ensure that the introduction of measures to control exposure does not increase the overall risk.
Common Measures to Implement the Principles of Good Practice
Eliminate or Substitute
• Prohibition of the most hazardous substances (e.g. carcinogens).
• Swapping for a paint that is classed as non-hazardous.
• Order pre-mixed substances – ready-mixed cement.
Change the Process

• Using mechanical fixings (rivets/bolts) instead of welding.
• Change from paint spraying to application by brush.
• Reducing the process temperature (working with lead).
• Using water damping (demolition).
Reduced Exposure Time

• Access into an exposure zone only when necessary.
• Using worker rotation to share exposure.
Enclose Hazards
• Complete enclosure of the substance in piped systems, covered conveyors or fume cupboards.
• Negative pressure systems inside systems.
• Sealing leaks in ductwork and pipework.
Local Exhaust Ventilation

• Receptors – low velocity removal of gases, vapours and lightweight dusts.
• Captors – high velocity extraction of weld fume or waste dust.
Parts of a Basic LEV System.

• Hood – where the contaminant enters the LEV, close to the source of substance generation.
• Ducting – conducts the air and contaminant from the hood to the discharge point.
• Air cleaner or arrestor – filters or cleans the extracted air.
• Air mover – the ‘engine’ that powers the extraction system, usually a fan.
• Discharge – a safe location, usually outside, where extracted and filtered air is vented.
Diagram of a basic LEV system:
What makes LEV less effective:

• Hood in the wrong position compared to the source.
• Holes or gaps in the hood or ducts.
• Additional hoods without changing air velocity.
• Build-up of dust and residue in the system.
• Fan blades dirty – reduce air velocity.
• Fan bearings worn – friction, reduces air velocity.
• Fan motor wear – reduce air velocity.
• Filter dirty / blocked.
• Discharge blocked (birds’ nests).
• Too many bends in ducts.
Requirements for Inspection of LEV – Routine Checks

• Daily, weekly or monthly
• Ductwork condition and mechanical integrity.
• Cleanliness of hoods and duct interiors.
• Test for leakage, operation of airflow indicators.
• Noise levels.
• Filter condition.
Requirements for Inspection of LEV - Thorough Examination

• Functional testing and inspection by a competent person.
• Verification of LEV documentation.
• Typically, 14-months between thorough examinations.
Dilute Ventilation
• The use of ventilation from doors, windows or passive or powered vents in walls and roofs for
sufficient air changes.
• Used for small quantities of low-risk contaminants.
• Multiple points of release possible.
• No better way to remove contaminants practicable.
Dilute Ventilation Limitations

• Cannot be used for toxic contaminants.
• Does not cope with large, sudden releases.
• Can merely move dust around rather than extract.
• May have locations with air unaffected by the ventilation.
Respiratory Protective Equipment

• You should only select and use RPE:
- Where inhalation exposure risk remains after other controls have been implemented.
- While putting in place control measures (interim measures).
- For emergency work or temporary failure of controls.
- For short-term or infrequent exposure.
- For emergency escape or rescue.
• Its purpose is to filter harmful contaminants to eliminate them or to reduce their concentration to
safe levels.
• Respiratory Protective Equipment may be ineffective because:

- It is uncomfortable and is constantly readjusted.
- It is worn incorrectly (upside down, out of position).
- It is not replaced and becomes blocked.
- It does not fit the user’s face.
- The wrong RPE has been selected (filter level too low).
- It is contaminated (left out in the workplace).
- It is damaged (torn, cracked).
• Two classes of RPE – respirators and breathing apparatus.

• Respirators include:
- Filtering face piece.
- Half-face respirator.
- Full-face respirator.
- Powered air purifying respirator.
- Powered visor respirator.
• Respirators are best suited for
- Low concentrations of general, non-toxic contaminants
- Known levels of contaminants including asbestos and solvents.
• Breathing Apparatus includes:

- Fresh-air hose apparatus – connected to a source of clean air.
- Compressed air line apparatus from a compressed air source.
- Self-contained breathing apparatus.
• Breathing apparatus is best suited for:
- Providing protection from known toxic contaminants.
- Providing protection from unknown or multiple contaminants.
- Oxygen-deficient atmospheres.
• Selection criteria for RPE includes:

- Choosing the correct type of respirator for the hazardous properties of the hazard
(particle / gas/vapour), oxygen levels.
- Choosing the correct protection factor for the concentration to stay below the WEL.
- RPE that fits the user and is compatible with other PPE.
- Face fit testing is required for all tight-fitting face masks.
- RPE that allows the user to perform the intended tasks.
- RPE that is suitable for the work environment.
• Use of RPE requires:

- Access to and briefing of the manufacturers’ recommendations.
- Training on the use of RPE.
- Undertaking a pre-use check for condition.
- Wearing the RPE correctly, forming an effective seal.
- Being clean shaken when wearing tight-fitting RPE.
- Clear signage to indicate where RPE should be used.
- Checking air supplies work before wearing.
- Storing RPE in a hygienic location.
• Maintenance of RPE involves:

- Competent persons maintaining equipment in line with the manufacturers’ instructions
at suitable intervals.
- Keeping records of maintenance tests.
- Changing any replaceable filters.
- Cleaning the RPE thoroughly.
- Valve maintenance and replacement.
- Checking straps for damage.
- Checking battery charge and flow rate.
- Checking breathing apparatus meats air quality standards.
Other Protective Equipment

• Gloves
- Ensure the correct impermeable material is selected for the substance. Read the SDS
to identify the material.
- Identify the breakthrough time in the SDS.
- Ensure the gloves fit and are cleaned or replaced frequently.
• Eye Protection
- Safety glasses for low likelihood of contact and know hazard.
- Goggles suitable for chemical splashes (EN 166 3 on the frame).
• Overalls
- Impermeable for high hazard substances.
- General for other substances – remove if contaminated.
Personal Hygiene and Protection Regimes

• Personal hygiene is most effective for ingestion and absorption.
• Instruct workers on how to wash thoroughly.
• Provide clear instruction on when to wash (before meals).
• Provide suitable washing and shower facilities.
• Use decontamination units for high-risk environments (asbestos).
• Employer to launder contaminated workwear for high-risk hazards.
• Use of barrier creams to provide added protection.
Health Surveillance
• Where there is a disease caused by exposure that can be detected.
• Employees are likely to be exposed to a degree that could cause the disease.
• There are valid methods of detection that don’t harm the employee.
• Health surveillance for hazardous substance diseases may include:
- Clinical examination.
- Diagnostic tests including x-rays or MRI scans.
- Function tests – lung-function test.
- Signs or rashes.
- Questionnaires.
Biological Monitoring
• This involves the analysis of breath, urine or blood samples collected from employees.
• The rights of the individual need to be considered carefully.
• The monitoring looks for the amount of a hazardous substance or its metabolites evident in an
employee’s samples.
• Blood samples may reveal exposure to lead or cadmium.
• Urine samples may reveal exposure to cobalt or nickel.
• Breath samples may reveal exposure to carbon monoxide.
• Analysis of the levels detected in employee samples is compared against Biological Monitoring
Guidance Values.
• Aim to stay as far below the BMGVs as is reasonably practicable.
Additional Controls
• Regulation 7 of COSHH requires additional control measures for certain hazardous substances.
These substances include:
- Carcinogens – substances that may cause cancer.
- Mutagens – substances that cause genetic defects.
- Biological Agents.
- Asthmagens – substances that cause an asthmatic reaction.
• The additional controls for Carcinogens and Mutagens are:
- Totally enclose the process unless not reasonably practicable.
- Prohibit eating, drinking or smoking.
- Clean all surfaces regularly.
- Use suitable warning signs to designate these areas.
- Store, handle and dispose safely using closed and clearly labelled containers.
• The additional controls for asthmagens are:
- Exposure must be reduced to as low as reasonably practicable.

1 Download HSE Publication L5 – Control of substances hazardous to health.
Read paras 99 – 119. https://www.hse.gov.uk/pubns/priced/l5.pdf
2 Browse the HSE’s COSHH web area. Select your industry from the list and
explore the information available. https://www.hse.gov.uk/coshh/
3 Browse the HSE’s advice on LEV. https://www.hse.gov.uk/lev/
4 Download HSE publication HSG53 - Respiratory protective equipment at work.
Read pages 6, 7 and the charts on P12, P16, P17.
5 Browse the RPE selector tool.
https://www.healthyworkinglives.scot/resources/rpe-selector-
tool/Pages/default.aspx
6 Read the HSE guidance on health surveillance.
https://www.hse.gov.uk/health-surveillance/overview.htm

7.5 Specific Agents
Asbestos
Health Risks
• Inhalation of asbestos dust and fibres kills around 5000 workers each year in the UK. It causes
the following diseases:
• Mesothelioma – a cancer that affects the lining of the lungs and the lining of the lower digestive
tract. Almost always fatal.
• Asbestos-related lung cancer – similar to lung cancer from smoking.
• Asbestos – serious scarring of the lungs that leads to progressive shortness of breath and, in
severe cases, death.
• Pleural thickening – thickening and swelling of the lung causing shortness of breath and
discomfort in the chest.
• Note that people who smoke and are exposed to asbestos fibres are at greater risk of lung
cancer.
• These may occur between 15 – 40 years after exposure.
Controls
• The Control of Asbestos Regulations sets out the requirements for reducing the risk from
contact with asbestos.
• Step 1 is to identify the presence of asbestos containing materials.
• Step 2 is to assess the risk of exposure considering condition, location and likely damage.
• Then, apply a hierarchical approach to managing the asbestos:
1) Eliminate through removal of any ACMs.
2) Reduce the risk at source – seal or protect it.
3) Engineering controls – tented enclosures and filtered extract.
4) SSoW – competent persons following safe methods of work.
5) PPE and RPE.
• Asbestos Management or Refurbishment and Demolition Surveys.

• Asbestos registers, signage and informing others of its presence.
• Asbestos Licenced Contractors.
• Written plans of work and competent people.
• Tented enclosures – negative pressure and decontamination units.
• Training – awareness, non-licensed and licensed removal.
• Health surveillance, air monitoring, safe disposal.
• PPE & RPE
- Disposable overalls and impermeable gloves.
- Minimum FFP3 mask, safety boots with no laces.
• Procedures for discovering and disturbing asbestos.
• Workplaces, Activities and Locations.

- Any building built or refurbished from the 1950s to 2000.
- Plumbing, installing cables, demolition, forming openings or just being in the building,
excavating material in the ground.
- Roof panels, cladding.
- Guttering, down pipes, soffits and fascia.
- Ceiling tiles, textured coatings.
- Insulation, electrical panels.
- Fire doors, wallboards, fire blankets, fire curtains, flue liners.
- Water tanks, water cisterns, toilet seats, bath panels.
- Floor tiles, window beading, train brakes, gaskets.
Blood-borne Viruses
• Health Risks
- Hepatitis B (HBV), Hepatitis C and Hepatitis D – a disease of the liver that causes
inflammation, hardening, liver cancer and death.
- Human Immunodeficiency Virus (HIV) which causes acquired immune deficiency (AIDS)
and can cause death.
• Controls.
- Prohibit eating or drinking, smoking and applying cosmetics.
- Prevent puncture wounds – SSoW, anti-puncture gloves.
- Use safer devices - blunt-ended scissors and needle devices.
- Cover breaks in skin - waterproof dressings, impermeable gloves.
- Good hand hygiene, regular cleaning, safe disposal of waste.
• Workplace Activities and Locations.
- Prisons, custodial centres.
- Emergency services, first aid and health care.
- Laboratory work.
- Plumbing and sewage processing.
- Mortuary, embalming and crematorium work.
Carbon Monoxide
• Health Risks.
- Headache, dizziness, weakness, vomiting chest pain, shortness of breath, loss of
memory, confusion and death.
• Controls
- Avoid using petrol-, diesel- or gas-powered equipment.
- Use petrol-, diesel- or gas-powered equipment outside.
- Ensure good ventilation.
- Install CO detectors.
- Only competent persons to install gas appliances.
- Regular maintenance and checks of gas appliances.
- Construction workers using petrol-powered tools and generators.
- Gas installation engineers.
- Fire fighters.
- Garage mechanics.
- Toll booth and car park attendants.
- Welders.
- Roll on and roll off ferry workers.
- Security guards and watchmen.
Cement
• Health Risks.
- Serious burns or ulcers if cement is trapped against the skin.
- Chemical burns to the eyes.
- Dermatitis - abrasion or sensitisation to hexavalent chromium.
• Controls
- Additive to reduce hexavalent chromium – limited shelf date.
- Avoid exposure by using pre-mixed concrete and mortar.
- Impermeable gloves, footwear and trousers.
- Regular washing, including showers where required.
- Skin care products and training.
- Groundworkers – concrete foundations.
- Brick and block layers.
- Concrete frame workers.
- Plasterers.
- Pre-cast concrete workers.
- Cement manufacturing workers.
Legionella
• Health Risks.
- Pneumonia – potentially fatal.
• Controls
- Set calorifers to heat water at 60°C or more.
- Distribute water at 50°C or higher.
- Store and distribute cold water below 20°C.
- Remove dead ends in water supply.
- Ensure all water outlets are used or flushed regularly.
- Cleaning and disinfection of water tanks and shower outlets.
- Prevent contamination – fit lids and insect screens to tanks.
- Health care (NHS, nursing homes).
- Cooling systems with cooling towers.
- All hot and cold-water systems.
- Leisure industry – swimming pools, spa pools.
- Maintenance workers working on water cooling systems.
Leptospira Bacteria
• Health Risks – contact with rats’ urine or cattle urine.

- Flu-like symptoms initially – headache and muscle pains.
- Can lead to meningitis, kidney failure and can be fatal.
• Controls.
- Wear protective clothing including impermeable gloves.
- Wash hands regularly and avoid hand to mouth or eye contact.
- Take breaks, meals and drinks away from the work area.
- Wash cuts and grazes immediately with soap and running water.
- Cover cuts and abrasions with waterproof dressings.
- Report any possible symptoms early – Weil’s Disease card.
- Workers accessing sewers and drainage systems.
- Cattle farmers and farm workers.
- Water sports workers.
- Workers in outdoor leisure pursuits. Divers
- Construction, demolition or building renovation workers.
- Pest control workers.
- Veterinary surgeons.
Silica
• Health Risks.
- Lung cancer.
- Silicosis – fibrosis (hardening or scarring of the lungs).
- Chronic obstructive pulmonary disease. (COPD).
• Controls.
- Consider substituting for a lower silica content material.
- LEV to stay below the WEL for silica (0.1mg/m 3)
- Good hygiene standards, washing, eating and drinking away.
- Respiratory protective equipment.
- Maintain LEV, training and health surveillance.
- Construction and demolition processes.
- Quarrying, slate mining and processing.
- Potteries, ceramics, glass, brick and tile manufacture.
- Refractory production and cutting.
- Masonry, worktop or fireplace manufacture.
- Rock drilling or crushing.
- Grit and abrasive blasting.
Wood Dust
• Health Risks.
- Asthma and respiratory disorders.
- Nasal cancer.
- Allergic dermatitis and conjunctivitis.
• Controls.
- Contain the wood dust inside processes – fitted extract.
- LEV to extract wood dust away from workers.
- Air monitoring to stay below the WELs.
- Respiratory protective equipment.
- Health surveillance and training.
- Carpentry and joinery.
- Sawmills.
- Wood pellet manufacturing facilities.
- Decorator (sanding).

1 Read the HSE guidance on why asbestos is dangerous.
https://www.hse.gov.uk/asbestos/dangerous.htm
2 Download and read HSE guidance EM01.
https://www.hse.gov.uk/pubns/guidance/em1.pdf
3 Read paragraphs 225 – 275 of HSE publication L143 – Managing and
working with asbestos. https://www.hse.gov.uk/pubns/priced/l143.pdf
4 Download and read HSE publication EM6 Personal protective equipment.
https://www.hse.gov.uk/pubns/guidance/em6.pdf
5 Read HSE guidance for asbestos medical surveillance
https://www.hse.gov.uk/pubns/ms34.pdf and
https://www.hse.gov.uk/pubns/ms31.pdf .
6 Download and read HSE guidance document indg 342 Blood borne
viruses in the workplace. https://www.hse.gov.uk/pubns/indg342.pdf
7 Browse the HSE web page and associated links for carbon monoxide.
https://www.hse.gov.uk/construction/healthrisks/hazardous-
substances/carbon-monoxide.htm
8 Browse the HSE web page for cement.
substances/cement.htm
9 Download and read paragraphs 48 – 74 of HSE publication L8 –
Legionnaires’ Disease. https://www.hse.gov.uk/pubns/priced/l8.pdf
10 Download and read HSE guidance on Leptospirosis via
https://www.hse.gov.uk/agriculture/zoonoses-data-
sheets/leptospirosis.pdf and
substances/harmful-micro-organisms/leptospirosis-weils-disease.htm .
11 Download and read HSE publication indg 463 Control of exposure to
silica dust. https://www.hse.gov.uk/pubns/indg463.pdf
12 Read the HSE guidance on wood dust at
https://www.hse.gov.uk/woodworking/wooddust.htm .

Element 8 – General Workplace Issues
able to:
prioritising
workplace,
recognising
a range of common
hazards, evaluating
control measures,
planning actions
8.1 Health, Welfare and Work Environment
Health and Welfare
• The Workplace (Health, Safety and Welfare) Regulations require employers to provide
workplaces that support good standards of health and welfare. The provisions include:
• Drinking Water.
- The water should be wholesome i.e. potable.
- Readily accessible at suitable places.
- Marked to differentiate between potable and non-potable water.
- Suitable means to drink hygienically – cups, jets.
- Free of charge (HASAWA S9).
• Washing Facilities.
- A sufficient number of washing facilities, readily accessible.
- Showers if required by the nature of the work.
- Adjacent to toilets and to changing areas.
- Hot and cold or warm water with soap and towels or equivalent.
- Rooms to be ventilated and lit.
- Rooms to be kept clean and orderly.
- Separate rooms for men and women unless self-contained, unless just used to wash
the hands, face and forearms.
• Sanitary Conveniences.
- Suitable for the nature of individuals on the premises.
- Sufficient numbers and readily accessible.
- Rooms to be ventilated and lit.
- Rooms to be kept in a clean and orderly condition.
- Separate rooms for men and women unless self-contained.
- Notice that this applies to WCs, urinals and sanitary towel disposal.
- To include access for workers with disabilities.
• Accommodation for Clothing.

- Suitable storage facilities for any clothing not worn during the working day – coats,
footwear, other clothes.
- Secure storage for personal clothing and belongings – lockers.
- Suitable storage for special clothing worn for work – overalls.
- If necessary to manage risk, separate facilities for work and home clothing.
- Facilities to dry clothing if required.
- Suitably located – between the work location and exit from work.
- Separate facilities for men and women to change clothes unless fully self-contained.
• Facilities for Rest and to Eat Meals.

- Suitable and a sufficient number of rest facilities, located at readily accessible places.
Somewhere to sit down.
- The ability to eat meals away from work locations where work activities could cause
contamination.
- An adequate number of tables and chairs with backs.
- Seating suitable for disabled persons at work.
- Facilities for a pregnant woman or nursing mother to rest.
- Facilities to eat meals – kettles or vending machines, the ability to heat food.
- Good standards of cleanliness and hygiene.
• Seating.
- Where workers need to sit to undertake tasks at work, suitable seats must be provided.
- Seating must be suitable for the person.
- Seating must be suitable for the operations undertaken.
- A footrest must be provided if an individual cannot rest their feet on a surface when
seated.
- Seating should provide support for the lower back.
• Ventilation.
- A sufficient quantity of fresh or purified air – windows, vents or HVAC systems. (at least
5 litres per second per occupant)
- Warning if air handling systems fail.
• Heating.
- Sufficient to achieve reasonable temperatures in workplaces.
- At least 16ºC (sedentary), 13ºC (rigorous physical effort).
- Protection from the excessive effects of sunlight on temperature.
• Lighting.
- Suitable and sufficient lighting, preferably natural light.
- Lighting for workstations, walkways, roadways, stairs.
- Task lighting and emergency lighting.
The Effects of and Controls for Exposure to Extremes of Temperature
Effects
• Extreme Cold Temperature.
- Hypothermia – dangerous overcooling of the body, death.
- Frostbite or freezing of the extremities, chilblains.
- Respiratory disorders, musculoskeletal disorders.
- Loss of concentration, reduced manual dexterity.
• Extreme Hot Temperature.
- Dehydration, heat stress and heat stroke, possible death.
- Muscle cramps, fainting, heat rash.
- Fatigue, giddiness, nausea, headache.
- Loss of consciousness.
Controls
• Control the temperature using engineering solutions.
• Change the process, use fans, air conditioning or heaters.
• Use barriers to block radiant heat.
• Provide regular rest breaks to return to normal temperatures.
• Prevent dehydration by providing regular drinks.
• Provide PPE to insulate from extremes of heat.
• Allow time to acclimatise to extremes of temperature.
• Information, instruction and training on the risks and controls.
• Identify individuals who are more susceptible to extremes.
• Monitor the health of workers.

1 Read HSE publication indg 244 Workplace, health, safety and welfare.
2 Read pages 37 – 44 of HSE publication L24 – Workplace, health, safety
and welfare. https://www.hse.gov.uk/pubns/priced/l24.pdf
3 Read the HSE web page on thermal comfort.
https://www.hse.gov.uk/temperature/thermal/index.htm
4 Read the HSE web page on heat stress.
https://www.hse.gov.uk/temperature/heatstress/index.htm

8.2 Working at Height
What Affects the Risk from Working at Height?
• Falling from height remains the biggest cause of workplace fatalities.

• The severity of a fall increases with the distance fallen.
• Every year workers are killed falling distances less than 1m.
• Falls occur:
- From unprotected edges of roofs and raised floors.
- From unstable or poorly maintained access equipment.
- Through fragile surfaces, often due to deterioration of materials.
- Due to hazardous weather conditions while working at height.
• Work at height also results in deaths and injuries when objects fall from height.
Hierarchy for Selecting Equipment for Working Safely at Height
The Work at Height Regulations set out a hierarchy of fall protection.

• Avoid work at height – extending tools, assembly at ground level.
• Prevent falls using existing workplaces – roof with fixed guardrails.
• Prevent falls using guardrails – scaffold, MEWP, cradle, tower.
• Prevent falls using work restraint systems.
• Minimise the distance and consequence of a fall – nets and mats installed close to the level of
work.
• Minimise the distance and consequence of a fall – fall-arrest systems.
• Provision of training, instruction and other measures.
Main Precautions to Prevent Falls and Falling Material
The Work at Height Regulations require that all work is:

• Properly planned by competent people.
• Supervised by competent people.
• Carried out by competent people.
• Avoided in adverse weather conditions such as:
- High winds.
- Snow and ice.
- Very heavy rainfall.
- Dense fog.
Emergency Rescue
• Work at height situations that require rescue include:

- Falling while wearing a fall-arrest lanyard and harness.
- Falling into a safety net or inflatable mat.
- Injury while using rope access or work positioning.
- Injury while working on a scaffold platform or tower.
- Failure of power in a suspended cradle or MEWP.
- Injury while in a cradle or MEWP.
- Injury while using a work-restraint system.
• There must be sufficient trained people and the right equipment to achieve an effective rescue
or the work may not proceed.
• Examples of emergency rescue include:

- Self-lowering fall-arrest systems.
- Assisted lowering kits (Gotcha).
- Rescue ladders (from the ground or from above).
- MEWPs.
- Rope access techniques.
- Crane man-riders.
- Manual lowering (suspended cradles).
- Base unit lowering (MEWPs).
Provision of Training, Instruction and Other Measures
• Where the risk of falling cannot be prevented and, in addition to measures to minimise the
distance and consequences of a fall, the employer should:
- Provide additional training and instruction.
- Take other additional, suitable and sufficient measures.
• Training on the correct use of harnesses and lanyards.
• Training on the correct use of fall protection nets and mats.
• Training and instruction on the safe use of ladders.
• Defined safe walkways at height (2m away from the edge).
• Safe handholds to access and descend from vehicle cabs.
General Precautions When Using Common Forms of Equipment to Prevent Falls
Ladders and Stepladders

• When can ladders be used?
• Schedule 6 of the Work at Height Regulations states that ladders may be used only if the use of
safer equipment is not justified because of:
- Low risk and either.
- The short duration of use or.
- Existing features on site that cannot be altered.
• Low risk – height, one-handed, weight carried.
• Short duration - <30 minutes.
• Fixed features – cramped plant rooms, narrow corridors.
Top Tips for Safe Use

• Use the correct class of ladder – not domestic.
• Ladders should be inspected formally and subject to a pre-use check.
• Leaning ladders set up at an angle of 75° or 1 in 4.
• Leaning ladders – secured at the top and/or bottom.
• Stepladders – opened fully and locked in position.
• Place on a level, stable surface with good grip.
• Only carry light materials.
• Don’t work off the top 3 rungs.
• Ladders to extend 1m beyond landings if used for access.
• 3-points of contact, belt-buckle within the stiles.
• Work facing the ladder.
Scaffolds (Independent and Mobile Tower)

• Erected and modified by competent persons only.
• Inspection before first use, when modified, every 7-days if used for construction with a potential
fall of 2m or more.
• Guardrail 950mm min, max 470mm gaps and toe boards if used for construction. At least
1100mm high if not used for construction.
• Sufficiently strong and stable for the proposed work.
• Safe means of access and no gaps in work platforms >50mm.
• Erected using techniques that prevent falls – through the trap, advance guardrails, fall-arrest in
danger zones.
• Mobile towers – brakes locked, access internally only.
• A safe means of access – stairs preferred.
Mobile Elevating Work Platforms

• MEWPs include scissor lifts, cherry pickers and articulated booms.
• The key hazards involved in using MEWPs include:
- Entrapment – operator trapped between basket and structure.
- Overturning – due to overload or poor ground, operator thrown.
- Falling – from the basket during work.
- Collision – with vehicles, pedestrians or overhead cables.
• Select the correct MEWP for the job and ground conditions.
• Thorough examination every 6-months.
• Inspected each day (PUWER), every 7-days (work at height).
• Operated only by competent people.
• Other tips for the safe use of MEWPs include:

- Avoid use in poor weather conditions.
- If there is a risk of falling, attach with a work restraint lanyard.
- Provide demarcation to the area below – objects falling.
- You cannot load the handrails – use proper supports.
- Provide protection from crushing against overhead hazards.
- Stay within the safe working load of the MEWP.
- Keep both feet on the working platform.
- Keep the working platform clear of trip and slip hazards.
- Must have a means of rescue at ground level.
Trestles and Staging

• Erected by competent persons.
• Same standards as scaffold and towers.
• Must be inspected.
Trestle Ladder Staging
Leading Edge Protection System

• Moveable guardrail for use on roofs.
• Provides a guardrail to one side.
• Grid to cover the gap where sheets will be secured.
• Should be used in conjunction with nets.
• Same standard as scaffold and towers.
• Must be inspected.

Prevention of Falling Material Through Safe Stacking and Storage
• Where loads are stacked in a position where they could become unstable, they should be
restrained with suitable means.
• Storage areas should be organised to avoid tight corners and with sufficient turning space to
prevent collision with racking.
• Inspect pallets each time they are used, remove damaged pallets.
• Racking systems should be properly designed for the loads.
• Select and use pallets suitable for the racking system.
• Inspect racking systems regularly (visual and expert).
• Provide training in correct storing and stacking.
• Minimise pedestrian access to racking systems.
• Use falling object protection structures on handling equipment.

1 Download and read HSE guidance document indg 455 – Safe use of
ladders and stepladders. https://www.hse.gov.uk/pubns/indg455.pdf
2 Download HSE guidance document HSG150 – Health and safety in
construction. Read pages 28 – 32 on scaffold platforms.
3 Read the HSE’s web page on MEWPs.
https://www.hse.gov.uk/construction/safetytopics/mewp.htm
4 Download and read the HSE’s guidance document GEIS 6 – The
selection use and management of MEWPs.
https://www.hse.gov.uk/pubns/geis6.pdf
5 Watch one video on through the trap method for mobile towers.
6 Read HSE guidance document indg 401 – Work at height, a brief guide.
7 Read HSE guidance document indg412 – Warehousing and storage.

8.3 Safe Working in Confined Spaces
Types of Confined Spaces and Why They are Dangerous
Confined spaces come in many forms. In the context of the Confined Spaces Regulations, a confined
space is an enclosed space that either contains or could have introduced one of a specified list of life-
threatening hazards. Examples include:
• Excavations and pits.

• Vehicle inspection pits.
• Tanks, pressure vessels and silos.
• Cellars, basements and tunnels.
• Large water tanks used to store water or chemicals.
• Chimney flues and large diameter extract ducts.
• Sewers and inspection chambers.
• Large diameter pipes and valve chambers.
• Wells and adits.
• Loft spaces.
Why are confined spaces so dangerous?

• Confined spaces are dangerous because of their variable nature.
• Often, individuals enter confined spaces and no harm occurs.
• This creates a false sense of safety and complacency.
• Many confined space hazards are invisible and can occur unexpectedly.
• All the specified confined space hazards can readily result in death.
• Many confined space incidents involve more than one death because rescuers attempt to
rescue the first victim and fail.
The Main Hazards Associated with Working in a Confined Space
The main hazards that make an enclosed space a confined space are:
• Low oxygen levels or a lack of oxygen.
• Poisonous gas or vapour.
• The ingress of fluids.
• The ingress of free-flowing solids – granular soil, wood chip, grain.
• Fire and explosions.
• Hot conditions leading to a dangerous increase in body temperature.
What to Consider When Assessing the Risk from a Confined Space
• Can entry into the confined space be avoided?

• The task to be undertaken (physical effort, time, access requirements).
• The working environment (lighting, cramped conditions, temperature).
• Working materials and tools (weight, size, power, suitability).
• The suitability of those carrying out the task (size, fitness, competence).
• Arrangements for emergency rescue (deployable immediately).
• Existing contents, cleaning, residue.
• Isolation to prevent further entry.
• The potential for the atmosphere to change.
The Precautions to be Included in a Safe System of Work for Confined Spaces
• Appointment of a competent supervisor.

• Selecting competent and physically fit workers.
• Isolation of mechanical and electrical equipment.
• Emptying and cleaning any residues before entry.
• Provide a safe means of access and entry.
• Provide ventilation – natural or forced.
• Testing the atmosphere – before and during.
• Special tools (non-sparking) and lighting (ATEX).
• Breathing apparatus or escape sets.
• Rescue equipment (harness, lines, winch).
• Communication and the ability to raise the alarm.
When a Permit-to-Work for Confined Spaces Would Not be Required
• While many occasions where entry into confined spaces is required will benefit from the extra
checks and controls involved in a permit-to-work, there are occasions when a permit-to-work is
not necessary or beneficial.
• Those occasions are when:
- The assessed risks can be controlled easily.
- The system of work is very simple.
- You know the other work activities being carried out cannot affect safe working in the
confined space.
- An assessed risk has been eliminated entirely and there is no foreseeable chance of it
recurring.
• The decision not to use a permit-to-work should be made by a competent person.

1 Read HSE publication indg 258 – Confined spaces – a brief guide to working
safely. https://www.hse.gov.uk/pubns/indg258.pdf
2 Read two cases of confined space deaths.

8.4 Lone Working
What a Lone Worker Is and Examples
• A lone worker is someone who works by themselves without close or direct supervision. They
include:
- Workers in fixed bases such as small shops or petrol forecourts.
- Workers who work outside normal hours such as security staff, maintenance workers
and cleaners.
- Workers who work from home.
- Housing association, medical and social care workers.
- Postal staff and delivery drivers.
- Taxi drivers, bus drivers, HGV drivers.
- Sales representatives.
- Agriculture and forestry workers.
Particular Hazards of Lone Working
• A lack of human interaction can lead to poor mental health.

• A lack of supervision can lead to cutting corners and developing unsafe working practices.
• Delay in responding to instances of injury or ill-health.
• The inability to administer suitable first aid.
• Increased likelihood of being attacked or abused.
• Excessive working hours without rest leading to fatigue.
• Poor or irregular eating habits.
Control Measures for Lone Working
• Maintain regular contact with manager, supervisors and co-workers.

• Occasional face-to-face contact on the company premises.
• Provide secure premises.
• Provide barriers where there is a risk of violence.
• Establish systems for communication and monitoring of location.
• Personal recording devices.
• On-person devices for a control centre to listen in or to call for emergency support.
• Devices that alert when the wearer is lying down.
• Emergency first aid training and personal first aid kits.
• Mental health support.
What Should be Considered when Assessing Risks of Lone Working
• The likelihood of the worker experiencing violence or abuse.

• The likelihood and nature of injuries associated with the task.
• The ability to access first aid or emergency services.
• The reliability of mobile phone coverage at their locations.
• Whether the worker is working in other employers’ premises.
• How long the worker spends lone working.
• The frequency of face-to-face interaction with other employers, supervisors and managers.
• The competence of the worker.
• Whether the worker works outside normal working hours.
• The health of the worker.

1 Read HSE publication indg73 – Protecting lone workers.
2 Research two different types of lone worker protection devices.
8.5 Slips and Trips
Common Causes of Slips and Trips
• Uneven surfaces – natural ground, damaged surfaces.

• Unsuitable surfaces – highly polished flooring (marble).
• Changes in slip resistance between surfaces
• Poor lighting.
• Slopes, steps and changes in gradient.
• Spills of food, water, oils and other liquids.
• Trailing cables across walkways – extension leads.
• Obstructions in walkways – bags, coats.
• Unsuitable footwear – high heels, open-backed sandals, flip-flops.
• Footwear with no grip by design or through wear.
• Ice and snow.
Main Control Measures for Slips and Trips
• Stop floors becoming contaminated by preventing leaks and using entrance matting to capture
water from outside.
• Use the right cleaning methods – leave floors clean and dry after.
• Inspect and repair loose, frayed or damaged flooring.
• Select floor coverings with suitable slip resistance taking into account the likelihood of them
becoming wet.
• Provide adequate lighting.
• Grit or salt for icy conditions.
• Keep walkways and work areas clear of obstructions – provide coat racks and space to store
bags.
• Wear the right footwear – clear footwear policy, replace footwear when it becomes worn.
• Avoid trailing cables – install additional power sockets.
• Clear rules on walking and not rushing.

1 Download and read HSE publication indg 225 – Preventing slips and trips
at work. https://www.hse.gov.uk/pubns/indg225.pdf
2 Read at least two cases studies of how companies have tackled slips
and trips in their workplace. https://www.hse.gov.uk/slips/

8.6 Safe Movement of People and Vehicles in the Workplace
Hazards to Pedestrians
• Walking around any workplace can be hazardous. Three of the most common hazards
affecting pedestrians are:
• Being struck by moving, flying or falling objects.
- Moving mechanical equipment, trolleys, objects from racking.
• Collisions with vehicles.
- Vehicles inside buildings, forklift trucks.
- Vehicles on roadways at work.
• Striking against fixed or stationary objects.
- Obstructions at head height, low beams, staircases.
- Cleaning signs, traffic cones.
- Reinforcement starter bars.
Hazards to Pedestrians
• Walking around any workplace can be hazardous. Three of the most common hazards
affecting pedestrians are:
• Being struck by moving, flying or falling objects.
- Moving mechanical equipment, trolleys, objects from racking.
• Collisions with vehicles.
- Vehicles inside buildings, forklift trucks.
- Vehicles on roadways at work.
• Striking against fixed or stationary objects.
- Obstructions at head height, low beams, staircases.
- Cleaning signs, traffic cones.
- Reinforcement starter bars.
Hazards from Workplace Transport Operations and Plant
Excluding hazards to pedestrians, the most common events are:

• Loss of control leading to collisions caused by:
- Slippery surfaces – mud, oil or ice on the road.
- Damaged or protruding road surfaces – potholes, kerbs.
- Overloaded vehicles – instability and inability to brake quickly.
- Excessive speed – lack of awareness, haste, poor judgement.
- Mechanical failure – puncture, brakes, steering.
- Fatigue – micro-sleeps, excessive working hours.
- Sudden braking – avoiding sudden dangers or slow reaction.
• Vehicles overturning.
- Taking corners too fast.
- Driving with forks or load elevated.
- Driving across slopes.
- Overloading or asymmetric loading.
- Shifting loads (curtain-sided vehicles)
- Sudden braking.
- Striking objects – other vehicles, road barriers, structures.
- Soft ground or depressions.
- Driving too close to excavations.
- Incorrect tyre pressure.
- Mechanical failure.
• Collisions with Other Vehicles and Objects.

- Poor lighting or direction signs, unclear right of way.
- Reduced height obstructions – bridges, rising doors.
- Poor driver signalling and road discipline.
- Poor visibility – blind bends, stacked materials, fogging.
- Poor eyesight or poor driver judgement, drugs and alcohol.
- Unfamiliar with the site or with the vehicle.
- Feet slipping on the foot controls – mud, oil.
- Reversing and poor visibility.
- Avoiding other hazards – pedestrians, other vehicles.
- Excessive speed – inability to stop in time.
• Loading and Unloading.

- Falling from the back or sides of vehicles.
- Crushed by tailgate lifts.
- Loads toppling, causing crushing– shifted during transport.
- Falling objects – when straps or curtain sides released.
- Manual handling injury – heavy objects, restricted movement.
- Whiplash from released straps – loads shifted, under strain.
- Broken glass or vitreous material – damaged in transit.
- Hazard chemical spills – damaged in transit.
Control Measures to Manage Workplace Transport
Safe Site (Design and Activity)
• Suitability of Traffic Routes.

- Suitable for the intended use – width, turning circles.
- Free from obstructions.
- Clear markings and signs.
- Separate site entrances for vehicles and pedestrians.
- Pedestrian only areas / vehicle only areas.
- Defined crossing points.
• Spillage Control
- Road surface able to withstand foreseeable spillages.
- Equipment to contain spills – spill kits, drain covers.
- Thorough removal of spills to remove slippery patches.
• Management of Vehicle Movements

- One-way systems.
- Stop and give-way markings and signs.
- Use of security personnel, banksmen – competence.
- Speed limits.
- Separate areas for parking, loading/offloading and construction.
- Safe turning areas.
• Environmental Considerations
- Lighting to cope with work at night, in winter.
- Gradients – gradual to avoid overturning or grounding.
- Changes of level – clearly indicated, change in colour.
- Coping with snow and ice – gritting.
- Suitable drainage to remove surface water.
- Non-slip coatings at bends and stopping locations.
• Maintenance and Checking of Traffic Routes.

- Regular inspection of the road construction, road furniture.
- Considering changes in vehicle types and usage.
- Reporting system for and rapid repairs to defects.
• Segregating Pedestrians and Vehicles.

- Separate entrances at the site entrance.
- Barriers to form separate walkways.
- Kerbs to delineate roadways from footways.
- Select pedestrian routes along the naturally selected routes.
- Footbridges or subways for high trafficked areas.
• Where Segregation is Not Possible.

- Clearly marked crossing points.
- Painted walkway and roadway markings.
- Lighting and high-visibility clothing.
• Protective Measures for People and Structures.

- Vehicle barriers to protect external plant and equipment.
- Barriers to protect corners of buildings and columns.
- Signs to warn of vehicle operations.
- Signs to warn of likely pedestrian presence.
- Barriers to prevent pedestrians walking directly onto roads.
- Windows and vision panels in doors.
- Vehicle reversing alarms.
- Vehicle reversing cameras.
- Island refuges on wide roads.
- Signs to be clear, cleaned and well positioned.
• Site Rules.
- Speed limits.
- Parking locations.
- No mobile phone use in vehicles.
- No mobile phone use for pedestrians when walking.
- Pedestrians to use defined walkways and crossings.
- Lights or hazard warning lights on.
- No reversing without a banksman.
- No overtaking.
Safe Vehicles
• Vehicle selection.
- Off-road capability / roadworthy for use on public highways.
- Correct capacity for the likely loads.
- Right sized for the roads available.
- Seats provided for the number of passengers expected.
- Roll-over protection structures (ROPS).
- Falling object protection structures (FOPS).
- Operational seatbelts.
- Reversing aids, reversing cameras, other cameras.

• Maintenance and Repair of Vehicles.
- Daily pre-use checks and weekly checks.
- Inspections by competent persons.
- Prompt repair and rectification of defects by competent persons.
- Regular preventive maintenance (manufacturers’ recommendations).
- MOT test.
- Thorough examination for lifting equipment.
• Visibility from Vehicles/Reversing Aids.

- Wing mirrors, additional mirrors for blind spots.
- Blind spot warning devices (light or sound).
- Parking sensors (proximity warning).
- Reversing cameras.
- Auto parking facility.
• Driver Protection and Restraint Systems.

- Roll-over protection and falling object protection structures.
- Seatbelts with pre-tensioners and head rests.
- Air bags, crumple zones, auto braking, sleep detection, lane departure assist.
Safe Drivers
• Selection and Training of Drivers.

- Satisfy DVLA requirements for driving the category of vehicle.
- Additional training for the vehicles to be driven and workplace.
- Reasonable level of physical and mental fitness.
- Assessment of driver skills.
- Refresher training and monitoring driver performance.
- Drug and alcohol testing.
• Banksman (Reversing Assistant)

- 25% of deaths involving vehicles occur during reversing.
- Plan and clearly mark out reversing areas.
- Keep non-essential persons out of the way.
- Banksmen must be trained and authorised.
- They must be visible to the driver at all times.
- They must use an agreed system of signalling.
- Stand in a safe position, ideally with a safe refuge.
- Wear visible clothing to ensure signals are seen clearly.
- If a driver loses sight of the banksman, stop.
- Consider the use of radios or similar for communication.
• Management Systems for Assuring Driver Competence.

- A driver who has completed training is not necessarily competent.
- Where workers are required to drive for a living on-site or off-site, they should be
assessed for their ability to drive the type of vehicle to which they are assigned.
- Drivers deemed competent can then be authorised.
- It is good practice to maintain a register of authorised drivers.
- Authorised drivers can be identified using a licence or colour coding system on
workwear, lanyards or similar.
- Codes of practice for operating vehicles on site should be shared. Such as rules on
speed, reversing, hazard lights, phone use, giving way, loading and unloading.

1 Explore the statistics for road safety accidents to understand the scale of
the challenge. https://www.racfoundation.org/motoring-faqs/safety
2 Browse the information and links available on the HSE’s Workplace
Transport web area. https://www.hse.gov.uk/workplacetransport/
3 Download HSE guidance document HSG136. Read the section on Safe
Site – Design p9 – 18. https://www.hse.gov.uk/pubns/priced/hsg136.pdf
4 Read the HSE web page on managing reversing vehicles.
https://www.hse.gov.uk/workplacetransport/information/reversing.htm

8.7 Work-related Driving
Managing Work-Related Driving
Work-related driving differs from workplace transport safety in that the journeys take place on the public
highway where the company does not control design and layout of the road network. However, over
1,700 deaths occur on the UK’s roads each year and more than 25% of those are people at work at the
time of their incident. Safe driving on the nation’s roads can be managed by applying the Plan, Do,
Check, Act model.
Plan
• Assess the risks from work-related road safety in your organisation.
• Produce a health and safety policy that covers:
- Organising journeys.
- Driver training and competence.
- Vehicle maintenance.
- Mobile phone use, drugs, alcohol and fatigue.
• Ensure top-level commitment to work-related road safety.
• Establish clear roles and responsibilities.
- Transport Manager, Department Managers.
- Individual drivers.
Do
• Ensure departments responsible for work-related road safety co-operate with each other.
- Purchasing/leasing vehicles, maintaining vehicles, planning deliveries or visits.
• Establish suitable systems to manage work-related road safety.
- Procedures for planning journeys, selecting drivers, vehicle maintenance and repair,
recovery and assistance.
• Involve workers or representatives in decisions and communicate.
• Provide the right training and instruction.
Check
• Monitor performance to ensure the road safety policy is working.
- Accidents, vehicle damage.
- Driver working hours.
- Fuel efficiency.
- Telemetry reports (harsh barking, acceleration, cornering, rest).
- Dash cams.
• Encourage employees to report road incidents or near misses.
Act
• Identify individuals at greater risk through analysis of data.
• Regularly review policies and control measures.
Work-Related Driving Control Measures
Safe Driver
• Driver competence.
- Specify the skills and expertise required to drive safely.
- Check the validity of driving licences.
- Make drivers aware of the company policies and rules.
• Driver Training.
- Arrange general induction driver training.
- Consider defensive driver training for higher-risk drivers.
- Consider training to load and unload safely.
- Training for cyclists or motorcyclists?
- Are training providers competent?
• Provision of Instructions.
- How to carry out routine vehicle checks.
- How to correctly adjust safety equipment.
- How anti-lock braking systems and other safety devices work.
- What to do if the vehicle breaks down.
- Use of mobile phones and other devices.
- Rules on drugs and alcohol and driving.
- The height, weight and width of their vehicle.
- Crash helmet standards for motorcyclists and cyclists.
- Consider a handbook containing safe driving guidance.
• Fitness to Drive
- Do drivers of lorries hold a current medical certificate.
- Remind drivers to have their eyes tested at least once every two-years.
- Check eyesight between formal tests.
- Advise against taking medicines that may impair judgement.
- Encourage the reporting of any health concerns.
- Educate drivers about fatigue when driving and what to do if they start to feel sleepy.
Safe Vehicle
• Vehicles Fit for Purpose

- Procurement process to select the most suitable vehicles for driving and for the health
and safety of the public.
- Driver aids fitted – reversing aids, cameras, side protection.
- Privately owned vehicles not used for business unless insured and maintained in line
with manufacturers’ advice, MOT.
- Would drivers and passengers be protected in a collision?
- Vehicles do not exceed their maximum load weight.
- Arrangements for carrying and securing goods and equipment.
• Vehicles Maintained in a Safe and Fit Condition.

- Ensure daily vehicle checks.
- Planned preventive maintenance conducted.
- Tyres and windscreen wipers inspected and replaced.
- Procedure for reporting defects and their prompt remedy.
- Maintenance and repairs carried out to an acceptable standard.
- Clear policy that unsafe vehicles should not be driven.
• Driver Health and Seating.

- Consider ergonomics when purchasing vehicles.
- Involve drivers in decisions about seating and vehicles.
- Provide advice on good posture and seat adjustment.
Safe Journey
• Plan Routes Thoroughly.

- Use safer roads (motorways are safer than minor roads).
- Take account of low bridges, tunnels, weight restrictions and level crossings for longer
and larger vehicles.
- Eliminate long journeys by using other forms of transport – bulk movement by train.
- Avoid travel by using media conferencing.
- Plan routes to allow for rest breaks and access to welfare facilities.
- Consult with workers on breaks and overnight stays.
• Realistic Work Schedules

- Avoid 2am to 6am and 2pm to 4pm – most likely to feel sleepy.
- Take steps to avoid drivers driving if they feel sleepy.
- Fit tachographs and check driving and rest times.
- Fit telemetry devices to report driving and rest times.
- Avoid peak traffic times at busy sections.
- Make allowances for new starters, young workers and trainee drivers.
• Enough Time to Complete Journeys Safely.

- Take account of road types and conditions.
- Allow for rest breaks (15-minutes every 2-hours).
- Consider the whole working day – risk of fatigue.
- Avoid placing drivers under pressure – number of calls or agreed arrival times.
- Remember that some drivers drive from home – fatigue.
- Plan in overnight stays.
• Consider Poor Weather Conditions.

- Can journey times and routes be adjusted for poor weather.
- Are vehicles equipped to operate in poor weather – windscreen wash, winter tyres.
- Do drivers know how to respond to poor weather – high-sided vehicles in high winds,
driving in snow.
- Avoid placing drivers under pressure to complete journeys where weather conditions
are exceptionally difficult.

1 Download and read HSE guidance document indg 382 – Driving at work –
managing road safety. https://www.hse.gov.uk/pubns/indg382.pdf
2 Research ‘microsleep’ to understand its causes and prevalence.
3 Read the Government guidance on medical examination for a Group 2, bus or
lorry licence.
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/960015/inf4d-d4-
medical-examination-information-notes.pdf
4 Research legal driver hours. https://www.gov.uk/drivers-hours
5 Locate and study your company’s risk assessment for driving on public roads
and the associated policy or procedures for driving on company business.
6 Check out how to use the DVLA’s share my licence.
https://www.gov.uk/view-driving-licence

Element 9 – Work Equipment
able to:
prioritising
workplace,
recognising
a range of common
hazards, evaluating
control measures,
planning actions
9.1 General Requirements
Providing Suitable Equipment
• Regulation 4 of the Provision and Use of Work Equipment Regulations (PUWER) sets out the
requirements for the provision of suitable work equipment.
• Work equipment is defined as:
- Toolbox tools – hammer, screwdriver.
- Single machines – drill, dumper truck.
- Apparatus – laboratory apparatus.
- Lifting equipment – slings, chains.
- Other equipment – ladders, pressure washer.
- Installations such as a series of machines connected together.
• All work equipment must be suitable for the purpose for which it was provided. The right tool for
the job.
• Selection of work equipment should take account of the working conditions and the risks
involved in using the work equipment.
• Work equipment should only be used for the purpose and conditions for which it is suitable.
• This means carrying out a risk assessment to ensure that work equipment is suitable.
• Consider work conditions including:
- Levels of lighting, the terrain and the space available.
- Weather conditions, explosive atmospheres, humidity.
- Other work in the area and the proximity of other people.
• The selection of work equipment will also be influenced by:
- Ergonomics – the interaction between human and machine.
- The level of risk involved in failure.
- The amount of use the equipment is likely to get.
- How rugged the equipment needs to be – potential for damage.
- Will it need to be adjustable to cope with multiple users.
- The level of competence of those who will use it.
- How easy it will be to maintain and the likely maintenance levels.
- The cost and availability of wear parts or consumables.
- The levels of noise, vibration, fume or waste produced.
The Requirement for UKCA / CE Marking.
• The Supply of Machinery (Safety) Regulations requires that all new work equipment must:
- Meet relevant essential health and safety requirements.
- Have a technical file drawn up outlining how those requirements have been met.
- Be issued with a Declaration of Conformity.
- Have CE / UKCA marking affixed.
• The UK left the EU in January 2021.
• CE marking was accepted until 31/12/21, and replaced by UKCA marking from 01/01/21.
• Equipment already in use will not need to be UKCA marked.
Prevent Access to Dangerous Parts of Machinery
• Regulation 11 of PUWER requires prevention of access to dangerous parts of machinery or that

the dangerous part is stopped before a person enters the danger zone.
• Measures to prevent access include a hierarchical approach:
- The use of fixed guards where practicable.
- The provision of other guards or protection devices.
- The provision of jigs, holders, push sticks or similar.
- The provision of information, instruction, training and supervision.
• Other protection devices include:
- Interlocks, light beams, pressure pads, moving guards.
- Distanced foot pedals or hand controls, twin hand controls.
• Guards and protection devices should be:
- Suitable for the intended purpose.
- Of good construction, sound material and adequate strength.
- Be kept in an efficient state, good working order and repair.
- Not increase the risk to the user or others.
- Not easily be bypassed or disabled.
- Be clear of the danger zone.
- Not unduly restrict the view where necessary.
- Allow for replacement parts to be fitted or maintenance.
Restricted Use and Maintenance for Specific Risks
• A specific risk is a risk that might not be understood by a person who is not familiar with that
item, they do not know how to control the risk and the risk cannot be fully controlled by guards.
- A nail gun, an abrasive wheel or a forklift truck.
• The use of this equipment must be restricted to those persons assigned to use them.
• Repairs and maintenance of this equipment should also be restricted to those persons assigned
to perform those tasks.
• These assigned persons must receive adequate training to allow them to use the equipment
safely.
• Prevent access via secure access (keys or access codes), or by posting warning signs against
unauthorised use.

Information and Instruction
• Anyone who uses work equipment or supervises those who use work equipment must have
access to health and safety information and written instructions pertaining to the work
equipment.
• The information and instructions should include:
- The conditions of use and methods of use.
- Foreseeable abnormal situations and corrective action.
- Conclusions drawn from experience of using the equipment.
• The information includes manufacturers’ instructions or manuals, warning signs and labels and
drawings.
• In-house information could include rules for safe use, settings, adjustments and instructions for
changing parts.
• Use plain English and consider non-English speakers.
Training
• All persons who use or supervise those who use work equipment must receive adequate health
and safety training.
• Adequate training takes account of existing competence, compared to the competence
required.
• Training may be required on recruitment, a change in tasks, equipment or systems of work.
• The training should include:
- How to use the work equipment.
- Risks involved in its use.
- Precautions to be taken.
- How to maintain the equipment (those performing maintenance).
Maintenance of Work Equipment
• Why is maintenance required?

- It can become blocked with material.
- Controls or instructions can become illegible.
- Cutting tools and faces will become blunt through use.
- Lubricants will be used and will need to be topped up.
- Components can be moved through normal use or impact.
- Parts can become worn, brittle or fail.
- Some components can be corroded.
- Performance will reduce over time.
- To prevent catastrophic failure.
- A legal duty to maintain equipment in an efficient working order.
Conducting Maintenance Safely

• Work equipment must be constructed or adapted to allow maintenance to be conducted using a
hierarchical approach by:
- Shutting the equipment down.
- Preventing exposure to risk.
- Protecting the person carrying out maintenance.
• Practical solutions include:
- Isolation by disconnecting from the power supply.
- Using lock off and tag out systems to isolate power.
- Temporary guards or props, crawl speed.
- Wearing PPE such as eye protection.
Other Requirements
Emergency Operations Control

• Where necessary, equipment shall be provided with readily accessible emergency stop
controls.
- E-stop buttons.
- Pull cords.
- Knock switches.
Stability
• Where necessary, work equipment should be stabilised by clamping.
- Bolting down fixed plant.
- Mobile equipment fitted with outriggers.
Lighting
• Suitable and sufficient lighting should be provided which takes account of the operations to be
carried out.
• Provide light of the brightness required in the right position.
• Avoid glare, allow controls to be seen clearly.
Markings and Warnings

• Markings required for health and safety are clearly visible.
- Stop and start controls, maximum or minimum settings.
• Provide warnings or warning devices that are unambiguous and easily understood.
- Signs, preferably using pictograms.
- Sirens or strobes.
Clear Workspace
• Regulation 17(4) of CDM requires sufficient working space for anyone working there taking
account of work equipment being used.
• Factors to consider include:
- The turning circles of mobile plant such as MEWPs and FLTs.
- The proximity of hazardous surfaces (hot, cold, sharp)
- The need to move around work equipment.
- Avoiding being knocked by others.
- Space to place the materials needed and finished products.
- Minimising the risk of tripping or slipping.
- Avoiding creating hazardous atmospheres in enclosed spaces.

1 HSE publication L22 – Safe use of work equipment and read appendix 1
for further information on guarding and other protection devices.
2 Select an item of work equipment you encounter frequently. Obtain a
manufacturer’s safety manual and read the information provided. How is
this information made available to users?
3 Download HSE publication HSG 253 – The safe isolation of plant and
equipment.
https://www.hse.gov.uk/pUbns/priced/hsg253.pdf
4 Find out how your company prevents access to work equipment with
specific risks that requires training to use. Is the system effective?
9.2 Hand-held Tools
Selecting Hand Tools
• Requirements for the Safe Use of Powered and Non-Powered Tools

- Is it CE or UKCA marked?
- Are dangerous parts guarded?
- Do we have access to H&S information and instructions?
- Have the workers been trained to use them?
- What are the risks involved?
- Do we know the likely noise and vibration levels?
- Does it have the controls required to stop, start, adjust and e-stop?
• Condition and Fitness for Use

- Is the tool free from significant defect or damage?
- Is it sharp enough to be effective?
- Is the body of electrically powered equipment free from splits?
- Is the power cable free from damage and have double insulation?
- Do 110V/230V tools carry evidence of current PAT?
- Is the tool head firmly attached to the shaft or handle?
- Is there enough of any wear part (e.g. disc) to be effective?
• Suitability for Purpose

- Is it the correct/best tool for the job?
- Is it of the right class (industrial)?
- Will it withstand the expected workload without overheating, damage or other failure?
- Is it the right size for the available space and expected use?
• Locations
- Flammable atmosphere – non-sparking tools, ATEX rated.
- Damp conditions – intrinsically safe (IP ratings)
- Proximity to HV – non-conductive / insulated.
Hazards and Control Measures for Construction Tools
Hammer
• Hazards
- Impact with a blunt, heavy object.
- Head flying off the shaft.
- Ejected particles from impact with target.
• Control Measures
- Check the condition before use.
- Use the right size hammer for the target and force required.
- Use the right material hammer (metal, wooden, rubber).
- Wear eye protection.
- Check no-one is in the draw-back or strike zones.
Knives
• Hazards
- Sharp blades – contact when cutting.
- Snapping blades
- Keep blades sharp (less effort required to cut)
- Use self-retracting blades.
- Keep sharp blades in sheaths.
- Cut away from the body.
- Keep hands away from the path of blades (clamps).
- Use cut-resistant gloves.
Power drill
• Hazards
- 110V or 230V power (electric shock).
- Rotating chuck and sharp bits, snapping bits, hot bits.
- High noise level, vibration.
- Pre-use check and PAT testing.
- 110V or battery.
- Clamp work pieces.
- Using sharp drill bits, correct drill bit.
- Select the correct drill speed, impact or non-impact.
- Eye protection, hearing protection, reduce exposure time.
Pneumatic Drill / Chisel

• Hazards
- High noise and vibration levels.
- Flying debris, compressed air.
- Heavy tool – manual handling.
- Select low noise, low vibration models.
- Limit the exposure time.
- Transport using a vehicle or trolley, manual handling training.
- Wear safety glasses suitable for medium impact (EN166 B).
- Wear ear defenders (correct SNR), keep the hands warm, breaks.

1 Research non-sparking tools.
2 Research IP ratings for power tools. What do the IP numbers mean?
3 Research insulated tools.
4 Download and read HSE guidance documents for nail guns
https://www.hse.gov.uk/pubns/ais43.pdf ,

9.3 Machinery Hazards
Consequences of Contact with Mechanical and Other Hazards
ISO 12100:2010 Table B1 sets out the consequences of contact with mechanical and other hazards.
They include:
Mechanical
• Being run over or thrown.
• Crushing or impact.
• Cutting or severing, shearing.
• Drawing in or trapping.
• Entanglement.
• Friction or abrasion.
• Injection.
• Stabbing or puncture.
• Suffocation (vacuum).
Electrical
• Burn.
• Effects on medical implants.
• Electrocution.
• Falling, being thrown.
• Fire.
• Projection of molten particles.
• Shock.
Thermal
• Burn, scald.
• Dehydration, discomfort.
• Frostbite.
• Injuries by the radiation of heat sources.
Radiation
• Burn, damage to the eyes and skin.
• Effects on reproductive capacity, mutation.
• Headache, insomnia.
Noise
• Discomfort, loss of awareness and loss of balance.
• Permanent hearing loss.
• Stress, tinnitus, tiredness.
• Other injury due to inability to hear speech or warnings.
Vibration
• Discomfort,
• Low back morbidity and trauma of the spine.
• Neurological disorder.
• Vascular disorder.
• Osteo-articular disorder.
Material Substances
• Breathing difficulties, suffocation.
• Cancer.
• Poisoning
• Mutation.
• Corrosion.
• Effects on reproductive capability.
• Explosion, fire.
• Infection.
• Sensitisation.
Ergonomic
• Discomfort, fatigue, stress.
• Musculoskeletal disorder.
• Other injury due to human error.
Work Environment
• Burn.
• Disease.
• Slipping or falling.
• Suffocation.
Hazards of a Range of Equipment
Hazards Controls
Bench Grinder
• Rotating abrasive wheels. • Competence.
• High noise levels. • Guard.
• Flying dust / sparks. • Rest gap 3mm max.
• Electricity. • Restrict duration of use.
• Vibration (workpiece). • Select the correct grinding wheel.
• Ejected workpiece. • Dress the wheel.
• PAT, pre-use check, isolate.
• Hearing protection.
• Eye protection.
Pillar Drill
• Rotating drill bit and chuck. • Competence.
• Electricity. • Adjustable guard.
• High noise level. • Jig or holder.
• Hot surfaces. • PAT, pre-use check, isolate.
• Swarf. • Sharp drill bits.
• Moving parts (drive belt). • Eye protection.
• Flying objects. • Hearing protection.
Cylinder Mower
• Rotating blades. • Cylinder Mower Controls
• Moving parts – drive chain. • Competence.
• Petrol / electricity. • Guards (grass box & body).
• Ejected material. • Clear debris in advance.
• High noise levels. • No smoking when fuelling.
• Hot surfaces. • Minimise fuel spills.
• Turn off before cleaning.
• Sharpen / balance the blade.
• Hearing protection.
Strimmer

Hazards Controls
• High noise levels. • Competence.
• Heavy hand-held tool. • Exclude non-essential persons.
• Flying debris. • Limit usage time. Hearing protection.
• Organic matter. • Eye protection (medium impact).
• Rotating blade or wire. • Gloves – PVC coated.
• Electricity or fuel. • Safety footwear – toe caps.
• No smoking. Body harness. Fixed guard.
• Two handles.
Chainsaw
• Rotating blade. • Competence.
• High noise levels. • Exclude non-essential persons.
• Flying chip, falling branches. • Guard, two handed operation.
• Recoil. • Ear defenders.
• Heat. • Mesh visor and helmet.
• Electricity or fuel. • Chainsaw gloves.
• Heavy tool to handle. • Chainsaw trousers.
• Chainsaw boots.
• Frequent rests.
• Chainsaw first aid kit.
Compactor
• Compacting action. • Competence.
• Moving parts. • Guards (body of compactor).
• Electricity. • Safety interlock.
• Hydraulic fluid burst. • Safe system of work.
• Ejected material. • Maintenance props.
• Fire. • PAT, pre-use check, isolate.
• Regular cleaning and maintenance.
• Eye protection.
Cement Mixer
• Rotating parts. • Competence.
• Electricity or fuel. • Use handled tools.
• Heavy tool to move/lift. • Eye protection.
• Splashes of wet concrete. • Impermeable gloves.
• Hot surfaces (if fuel). • PAT, low voltage, isolate.
• No loose clothing.
• No smoking (if fuel).
• Safety footwear (grip/water resistant).
Bench Mounted Circular Saw
• Rotating blade. • Competence.
• Sharp blade. • Guards.
• High noise levels. • Exclude non-essential people.
• Wood dust. • Self-retracing blade.
• Ejected particles. • Dust extraction and bagging.
• Hot surfaces. • Eye protection.
• Electricity. • Time to cool.
• Cut resistant gloves (maintenance).
• 110V, PAT, isolate.
• Pre-use checks.
Drones
• Rotating blades. • Competence and drone licence.
• Fuel & fire (petrol powered). • Demarcated take-off and landing zone.

Hazards Controls
• Moving at head height & below. • Line of sight.
• Moving by overhead power lines. • Live camera feed.
• Moving into air space. • Distance from airfields.
• Adverse weather. • Distance from power lines.
• Check weather in advance.
Driverless Vehicles Hazards
• Moving vehicle – quiet. • Exclude non-essential persons.
• Fuel & fire / electricity. • Routes designed not to trap pedestrians.
• Moving mechanical parts. • Sensing devices for proximity.
• Audible sounds.
• Failsafe stop when out of signal.
• Override function. Seatbelts.
• Maintenance and inspections.
• Line of sight – if controlled.

1 Download then read the HSE publication WIS 36 on the use of cross-cut
saws. https://www.hse.gov.uk/pubns/wis36.pdf
2 Download and read the HSE guidance on chainsaw safety.
https://www.hse.gov.uk/treework/safety-topics/chainsaw-operator.htm
3 Browse the guards and protective devices listed above to ensure you
understand what each one is and how it works.
4 Download and read pages 17 -18 of HSE Guidance document indg 392 –
Guidance for the recovered paper industry.

9.4 Control Measures for Machinery
Basic Principles of Operation, Advantages and Limitations
Fixed Guards
• Principles
- To enclose the hazardous parts of equipment.
- Only removed by using a special tool for maintenance and inspection.
• Advantages
- Protects all persons from harm and requires no competence.
• Limitations
- Tools required to remove for maintenance activities.
- May be removed if regular maintenance is required.
- Once removed, no protection is offered.
Interlocking Guards
• Principle
- A hinged guard that stops operation when it is opened.
- Closing the guard completes a circuit that allows operation.
• Advantages
- Ease of access to load materials while operation is prevented.
• Limitations
- Interlocks can be fragile and break, replacement required.
- They can be bypassed rendering the equipment unsafe.
- Dangerous parts may not stop immediately.
Self-adjusting Guards
• Principle
- Guards with moving parts that make way for the workpiece.
- They must return to enclose the hazardous part when the workpiece is cleared.
• Advantages
- Easy to use, guards the moving part when it is not engaged with the workpiece.
- Can be moved to allow adjustment or maintenance.
• Limitations
- Can be damaged or jammed and stay in the open position.
- May obscure visibility.
Adjustable Guards
• Principle
- Fixed guards with an adjustable section whose position can be adjusted to allow
clearance to workpieces.
- They must be adjusted correctly by the user to provide protection and allow sight of the
workpiece.
• Advantages
- Allows flexibility to work on different thicknesses of material.
• Limitations
- Can become stiff and hard to adjust if unused or corroded.
- Relies on correct adjustment by the user.
- May obscure visibility.
Two-hand Control Device

• Principle
- A system that requires the operator to have both hands on the controls.
- The hands are away from the dangerous parts when operating.
• Advantages
- If used correctly, the hands cannot come into contact with moving parts.
• Limitations
- Other parts of the body can contact moving parts (feet).
- Does not prevent harm to other persons in the area.
- Can be defeated by operation by two persons.
Hold to Run
• Principle
- Equipment that will only run when the control is actively pressed.
- The equipment must stop when the control is released.
• Advantages
- Easy to use, requires limited training or instruction.
• Limitations
- Second hand could still be in the way of moving parts.
- The moving part may take time to slow after release.
Proximity Trip Devices

• Principle
- Light beams, pressure pads or cords that reverse or stop operation.
- Typically protecting the normal approach to the equipment for loading parts or
adjustment or protecting likely trap points.
• Advantages
- Allows easy access to load parts or allow passage.
- Does not obscure visibility.
• Limitations
- Can be bypassed, no protection if fully beyond the trip device.
- Can cause production delays if constantly tripped in error.
Emergency Stop Controls

• Principle
- A means to bring a machine to a rapid stop when pressed.
- They must be easy to reach from all operator locations.
- They may be buttons, kick plates or pressure cables.
• Advantages
- Rapid stop of operation.
- Instantly recognisable.
• Limitations
- May be out of reach of the operator when needed.
- Injury has already occurred.
Jigs and Holders

• Principle
- Jigs and holders hold the workpiece allowing the operator to hold them at distance from
the position of the tool or to remove the need to hold the workpiece.
• Advantages
- No need for hands to be close to the tool and easy to use.
• Limitations
- May not be used for ‘quick’ jobs.
- May not be held securely, flying workpiece.
- Hands may still be in the path of the moving parts.
Push Sticks
• Principle
- Push sticks keep distance between the cutting tool and the hands.
• Advantages
- Easy to use, quick to deploy, cheap to replace when worn or damaged.
• Limitations
- Can be caught in the moving part and be ejected or pulled in.
- If using too much force, the hands can still contact the moving part.
- Requires a competent operator.
Information, Instruction, Training and Supervision
• Principle
- Operators are informed of the hazards, correct operation and adjustment of the work
equipment and can demonstrate correct use.
- Supervision is intended to ensure correct operation and conditions.
• Advantages
- Allows flexibility, speed of operation and adjustment for new situations.
• Limitations
- May not prevent contact with moving parts or other hazards.
- Risks increase with fatigue and boredom.
- Supervision is not always present or poor-quality supervision.
Personal Protective Equipment

• Principle
- A last line of defence against hazards including ejected particles, noise, dust, bright light
and fumes.
• Advantages
- Simple to use, cheap, available in many sizes to fit operators.
- Protects against non-mechanical hazards.
• Limitations
- Relies on correct use every time by the operator.
- May be uncomfortable or distort risk perception.
- Can be misused and increase risk (gloves with rotating parts).
Basic Requirements for Guards and Safety Devices
• Compatibility with the process – to allow operation without hindrance.

• Adequate strength – to protect against likely impact forces.
• Maintained – to ensure correct operation and adjustability if needed.
• Allow maintenance without removal – this applies to routine maintenance only because removal
of the guard increases the level of risk.
• Do not increase the risk or restrict view – the guard should not present a trapping hazard or
shear point. Nor should it obscure visibility to the point where the operator cannot see to
operate safely or is forced to repeatedly lift or remove the guard.
• Not easily bypassed - locating interlocks so they cannot be operated by the user when the
machine is in use.

1 Browse the HSE web page for work equipment machinery. Identify
machinery or machinery topics of interest and explore them.
https://www.hse.gov.uk/work-equipment-machinery/resources.htm
2 Download HSE publication L22 – Safe use of work equipment. Read
pages 36 – 41 and 31 – 34.
3 Download HSE publication Health and Safety in Engineering Workshops.
Browse the range of equipment and controls.

Element 10 – Fire
able to:
prioritising
workplace,
recognising
a range of common
hazards, evaluating
control measures,
planning actions
10.1 Fire Principles
The Fire Triangle.
For a fire to start and to be maintained, there must be three ingredients:

• Fuel.
• Heat/ignition – sufficient to ignite the fuel.
• Oxygen – sufficient to sustain combustion.
Sources of Fuel
• Timber, paper, cardboard.
• Plastic sheeting, plastic tubs and containers.
• Wood dust and wood chips.
• Petrol, diesel, lubricating oils.
• Paints, solvents, thinners and adhesives.
• Propane, methane, butane, acetylene.
• Carpets, blinds, wallpaper.
• Furniture, doors, architrave.
• PPE, clothing.
• Food and general waste.
Sources of Heat / Ignition

• Sparks from grinding or cutting.
• Gas-powered blow torches, burning activities.
• Electric heat guns.
• Smoking materials.
• Welding operations and welding workpieces.
• Hot processes.
• Electrical faults.
• Hot exhaust systems.
• Solar radiation.
• Cooking activities.
Sources of Oxygen
• Oxygen gas cylinders
- Leaking valves.
- Leaking hoses and fittings.
• Natural air
- Air in the room.
- Air introduced through HVAC systems.
- Air introduced through open doors and windows.
• Oxidising Agents
- Ozone, chromic acid.
- Release additional oxygen during combustion.
Classification of Fires
• Class A – fires involving organic solids (paper, wood, cardboard)

• Class B – fires involving flammable liquids.
• Class C – fires involving flammable gases.
• Class D – fires involving burning metals (aluminium swarf).
• Class F – fires involving cooking fats and oils.
• Electrical fires – fires involving electrical equipment.
Basic Principles of Heat Transmission and Fire Spread
There are four methods of Heat Transmission.
• Convection.
- Hot smoke rises and is trapped by the ceiling.
- It spreads to form a deepening layer across a room.
- Smoke passes through gaps in walls/ceilings into other rooms.
- The heat is trapped, the temperature rises and new fires start.
• Conduction.
- Materials with good conduction properties (metals) can conduct heat along their length.
- A duct or metal structural member in contact with a fire in one room can heat fuel in
another room causing a new fire to start.
• Radiation.
- Fire radiates heat in the same way an electric bar heats a room.
- The radiation energy strikes surfaces a distance away and causes them to heat up.
- The heat from a fire in one building can cause the combustible material in a building
several metres away to catch light.
• Direct Burning.
- The air within and immediately adjacent to a flame is very hot.
- The flame around a match burns at 600-800°C.
- Any material in direct contact with a flame will be heated and ignite.
Fires spread in buildings is achieved via the following means:

• Large quantities of combustible material intensify the fire.
• Vertical spread in stairwells and atria through convection.
• Through ductwork, vents, service risers and lift shafts.
• Through complete floors due to the absence of fire compartmentation.
• Through openings in fire compartmentation:
- Incorrectly rated, fitted, maintained or open fire doors.
- Openings formed in fire compartments to change the layout.
- Openings formed for service installation.
• Combustible material igniting on the outside of the building.
Common Causes and Consequences of Fires in the Workplace
The most Common Causes of fires in the workplace are:

• Deliberately starting a fire (arson).
• Placing articles too close to heat / hot works.
• Misuse of equipment or appliances.
• Faulty fuel supplies.
• Careless handling of fire or hot substances.
• Faulty appliances and leads.
• Playing with fire.
• Chip pan fires.
• Smoking materials discarded by waste and other combustible material.
The Consequences of Fires include:

• Death through smoke inhalation and burns.
• Injuries through smoke inhalation and burns.
• Crush injuries, cuts and breaks when escaping fires.
• Building damage – structural and aesthetic.
• Production / operation delays.
• Costs to clean up after fires.
• Costs to repair damage.
• Investigation time and dealing with prosecution and claims.
• Prosecution (fines, imprisonment) and civil claims.
• Environmental impact (air quality, run off).

1 Download and read the government statistics on fires in the UK.
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/923072/detailed-
analysis-fires-attended-fire-rescue-england-1920-hosb2820.pdf
2 Read the HSE web page on fire safety.
https://www.hse.gov.uk/toolbox/fire.htm

10.2 Preventing Fire and Fire Spread
Control Measures to Minimise the Risk of Fire Starting in a Workplace
Fire Risk Assessment.

• Step 1 – Identify fire hazards.
• Step 2 – Identify people most at risk.
• Step 3 – Evaluate, remove, reduce and protect from risk.
• Step 4 – Record, plan, inform, instruct and train.
• Step 5 – Review the risk assessment.
Eliminate / reduce quantities of flammable and combustible materials used or stored.

• Substitute materials with less flammable materials.
• Use just-in-time ordering to keep stock levels to a minimum.
• Limit combustible materials stored at the workface to one half-day or one-day of work.
• Keep stocks of flammable gases and liquids in the open to a minimum.
• Require teams to remove waste materials throughout the day.
• Arrange for the regular removal of waste skips.
• Extract wood dust at source into suitable containers and dispose of it.
• Do not sweep dust, use suitable industrial vacuums.
Control Ignition Sources.

• Replace naked flames/radiant heaters with heaters with no red element.
• Conduct routine hot works in a designated area away from fuel.
• Use a hot work permit to control hot work in other areas.
• Establish a smoking policy and site smoking areas away from fuel.
• Check all hot work areas regularly for 60 minutes after work is complete.
• Keep a safe distance between lights and adjacent surfaces or materials.
• Inspect potential ignition sources regularly (lights, heaters).
• Turn off equipment when it is unattended or not being used.
• Ensure work equipment is installed correctly and maintained.
• Only competent persons to work on gas systems.
• Prevent deliberate fires and arson.

- Store combustible or flammable materials away from fence lines.
- Store materials inside secure metal containers.
- Provide and maintain secure site fencing.
- Consider the use of CCTV and security personnel.
- Secure skips with flammable liquid containers.
- Hide sensitive site activities from view behind other structures.
- Lock building doors and secure windows when the building is unattended.
- Monitor individuals entering and leaving the site each day.
- Report antisocial behaviour.
• Use suitable electrical equipment in flammable atmospheres.

- Sewers and sewage treatment inlet works– hydrogen sulphide, methane.
- Wood processing, bakeries, coal processing areas.
- Flammable gas storage areas.
- Paint spraying areas.
- Use electrical equipment for explosive atmospheres (ATEX).
- Use non-sparking tools, bronze, copper beryllium.
- Monitor for explosivity using gas monitors.
- Use FLTs with auto-cut off in explosive atmospheres.
Use Safe Systems of Work.
• Safe Place.
- Remove flammable and combustible material from the area.
- Remove unnecessary ignition sources.
• Safe Person.
- Competent workers who understand fire hazards and controls.
• Safe Materials.
- Minimise combustible or flammable materials and safe storage.
• Safe Equipment.
- Equipment is tested and inspected regularly.
- Equipment suitable for the work environment – ATEX.
Good Housekeeping.
• Keep floors and walkways clear to minimise tripping while carrying flammable liquids or gases.
• Store gas cylinders in secure locations to minimise damage to valves.
• Store gas hoses in an orderly manner to minimise damage and wear.
• Clear waste material and packaging regularly, minimise paper use.
• Store flammable substance tins and bottles with the lid securely fastened.
• Separate non-compatible substances (flammable / oxidising agents).
• Clear wood dust regularly to minimise fire and explosion risk.
• Designated locations for different fuels.
• Clear up spills correctly and quickly.
• Keep fire doors and fire escape routes free from obstruction.
Storage of Flammable Liquids in Workrooms and Other Locations
• Keep flammable gases and liquids in secure storage locations away from buildings where
practicable.
• Minimise the volume stored inside buildings in fire-rated cabinets.
• Restrict access to flammable stores to authorised persons only.
• Store full gas bottles separately to empty bottles.
• Store gas bottles in a mesh cage, secured in the upright condition.
• Store flammable liquids in covered external stores or in steel containers with good ventilation.
• Ensure that lids are securely fastened.
• Place warning signs around flammable storage areas to prevent hot works and smoking.
• Storage area to have suitable bunding to contain spills.
Structural Measures to Prevent the Spread of Fire and Smoke.
Fire Compartmentation
• A fire compartment is a building, or part of a building, constructed to prevent the spread of fire
to or from another part of the building or an adjoining building.
• Fire compartmentation is formed of continuous:
- Compartment walls or floors constructed using fire resistant material.
- Fire resistant glazing or shutters in compartment walls.
- Fire doors in compartment walls.
• Large buildings may be divided into fire compartments to limit damage in the event of a fire or to
separate areas of high fire risk from other areas.
• Fire compartments are provided to protect fire escape routes,
• They must provide a minimum of 30-minutes of fire resistance.
Properties of Common Building Materials.

• Brickwork and Masonry.
- Bricks offer fire resistance because they were formed in kilns.
- Brick and masonry walls can offer between 30-minutes to 2-hours fire resistance.
- Can be used externally to offer fire resistance around the building perimeter and
internally between separate fire compartments.
• Steel.
- Steel offers fire resistance as external cladding, flooring and roller doors.
- Steel is affected by high temperatures when it will twist and warp. This can lead to
structural collapse.
• Timber.
- Thin sections of timber will burn readily – hardboard, skirting.
- Thick sections offer fire resistance and can be treated to improve fire resistance.
- The outside becomes charred and insulates the inner core.
• Glass.
- Ordinary glazing will expand, crack and eventually melt in fires.
- Fire-resisting glazing can be fitted into fire doors, fire-resisting window frames and wall
panels to offer fire resistance.
• Concrete.
- Concrete offers good fire protection as walls, floors and ceilings
- It will spall at high temperatures as the reinforcement expands at a different rate to
concrete.
• Plasterboard.
- Plasterboard together with metal studs, head and base channels form partition walls
that can offer fire resistance.
- A single layer of 12.5mm wallboard each side of 50mm studs will offer 30 minutes of fire
resistance.
- A single layer of 15mm fire-rated wallboard on the same wall offers 60 minutes of fire
resistance.
- Double layers of wallboard increase fire resistance.
Fire Doors
• A fire door is a door or shutter, together with its frame and furniture which, when closed,
restricts the passage of fire and/or smoke.
• The frame and door should be purchased and fitted as a set.
• The door should offer at least 30-minutes of fire resistance.
• It should be fitted with intumescent strips and smoke seals.
• It should be fitted with a door closer.
• Door handles and other door furniture must have the same fire rating.
• Glazing panels must have the same fire rating.
• At least 3-hinges with the same fire rating.
• Gaps to the sides and top no more than 3mm and 10mm to the base.
Protection of Openings and Voids

• Fire and smoke can spread through penetrations through fire compartmentation.
• Ducts can be fitted with fire dampers at fire compartment positions.
• Intumescent collars can be fitted around non-fire resisting service penetrations such as uPVC
pipes.
• Fire batt (fire resisting insulation) can be used to fill larger voids.
• Smaller voids can be filled with fire-rated filler or fire rated expanding foam.
• Doors to service risers will often be fire rated or there will be fire batt between floors.
• Fire doors can be fitted with magnetic release self-closers.

1 Access the Government’s page for guidance on fire risk assessment.
Download the guidance most relevant to your operations. Read Part 2
Section 1 on fire risks and preventative measures.
https://www.gov.uk/government/collections/fire-safety-law-and-guidance-
documents-for-business
2 Download HSE guidance document HSG 51 – Storage of flammable
liquids in containers. Browse the document.
3 Research the fire resisting properties of plasterboard.
5 Research whether timber may be safer than steel in a fire.
5 Research fire doors.
6 Research fire batt, fire sealant, intumescent pipe collars and fire dampers
in ducts.

10.3 Fire Alarms and Fire Fighting
Common Fire Detection and Alarm Systems
Manual Fire Detection.

• In very small buildings, fire detection may be achieved via detection by employees followed by
shouting ‘fire’.
• In small buildings where word of mouth may not be effective, manual detection coupled with the
use of a fire bell or air horn may be more suitable.
• In larger buildings, use a system of interconnected manual call points either wired or wireless.
These are connected to sounders.
• Where noise levels are high or individuals have hearing difficulties, consideration should be
given to strobes as well as sounders or trembler alarms.
Automatic Fire Detection Systems.

• Smoke detectors.
- Using ionising radiation or light scatter.
- Suitable in most areas except where dust or steam is generated.
• Heat detectors.
- Melting metal connection or expansion of solid, liquid or gas.
- Can be used where smoke detectors are unsuitable.
• Radiation detectors.
- Photoelectric cells, useful in large open buildings, warehouses.
• Combustion Gases
- Detection of the early stages of combustion – CO, CO2.
Alarm Systems.
• The purpose of an alarm system is to provide the earliest possible warning of fire to give
occupants time to escape safely.
• The most common form of alarm is two-tone siren sounders (or bells) located throughout
buildings to ensure all persons can hear.
• In some public buildings, a public address system is used to provide instructions using voice
commands combined with a siren.
• Most alarms use a single-stage alarm – everyone commences evacuation on hearing the alarm.
• Two-stage alarms may be used in large or high-rise buildings to place low-risk compartments
on alert while evacuating high-risk compartments.
Portable Fire Fighting Equipment
Siting.
• At least one Class A extinguisher per 200m 2.
• A minimum of two class A extinguishers per floor.
• One class A extinguisher within 30m of all points.
• A class B extinguisher within 10m of all relevant hazard points.
• Class F extinguisher within 5m of all relevant hazard points.
• Other extinguishers within reasonable reach of hazard points.
• On the line of escape routes.
• Adjacent to final exits and storey exits.
• At the same points on multi-storey buildings.
• In dead ends to create a safe path.
• In groups forming fire safety points.
• Where practicable, in recesses to avoid creating an obstruction.
• With carrying handles approximately 1m off the floor.
• Away from excessive heat or cold.
Maintenance
• Monthly Inspection.
- Located in the correct place and unobstructed.
- If they have been discharged.
- Gauge showing the correct pressure (and shake powder).
- Any obvious damage.
• Annual Inspection and Maintenance
- More detailed inspection by a competent person.
• Test by Discharge
- Every 5 years for most extinguishers, 10 years for CO2.
Training
• This will involve initial and refresher training or instruction.
• It should include:
- Selection of the correct type of firefighting equipment.
- Practical use of the fire-fighting equipment.
- Advice on when it is not safe to fight a fire.
• Regulation 32 of CDM requires training for construction workers to use firefighting equipment
which it may be necessary to use.
Extinguishing Media
Water Extinguisher – works by cooling.

• Advantages.
- Able to penetrate into fuel, long range jet prevents proximity.
- Good heat absorbance, quicker cooling effect.
- Water turns into heat when heated and evaporates, no mess.
• Limitations.
- Can only be used on class A fires.
- Water is a conductor which can make using water extinguishers hazardous when used
on or near electrical equipment.
Aqueous Film Forming Foam – works by smothering.

• Advantages.
- Forms a visible blanket that aids aiming to cover all the fuel.
- Can be used on both Class A and B fires.
- Improved cooling properties.
- Foam helps to prevent reignition as it forms a film on surface.
• Limitations
- Cannot be used on Class C, D, F or electrical fires.
Dry Powder – works by smothering.

• Advantages.
- Can be used on Class A, B, C and electrical fires.
- Forms a barrier on the fuel that prevents reignition.
- Not as susceptible to frost as water-based extinguishers.
- Twice as effective on class A fires as AFFF.
• Limitations.
- Clean up can be time consuming and costly.
- Visibility is reduced when used.
- Some people may experience difficulty breathing.
- Causes damage to electrical equipment.
Carbon Dioxide – works by displacing oxygen.

• Advantages.
- Smothers fire quickly in draught free conditions.
- Can be used on class B and electrical fires.
- Leaves no residue, no damage or clean up.
• Limitations.
- Cannot be used in confined spaces – asphyxiant.
- No protection against reignition.
- Can cause frost burn if the discharge horn is held in use.
Wet Chemical – works by cooling and saponification.

• Advantages.
- Fast reduction in the event of a class F fire.
- Low chance of reignition.
- Low pressure reduces the risk of splashing hot oil.
- Easy to clean up afterwards.
• Limitations.
- Contains an alkali solution that can cause corrosion.
- Can cause irritation to the skin and eyes.
- Not suitable for electrical fires.
Fire Type
A B C D Electrical F
Organic Liquids Gases Metals Equipment Oils
Water ✔ ✖ ✖ ✖ ✖ ✖
Extinguisher
Foam ✔ ✔ ✖ ✖ ✖ ✖
Dry Powder ✔ ✔ ✔ ✔ ✔ ✖
CO2 ✖ ✔ ✖ ✖ ✔ ✖
Wet
✔ ✖ ✖ ✖ ✖ ✔
Chemical
Access for Fire and Rescue Services and Vehicles
• Vehicle Access.
- Turning circles on approach roads to allow fire appliance access.
- Space between obstructions and parked vehicles to pass.
- Access to at least 15% of the perimeter or within 45m of all locations for fire appliances
to reach with hoses.
- Received at the site entrance and directed to the fire.
- Access to fire hydrants – not blocked or covered.
• Firefighter Access.
- Firefighting shafts should be provided in high-rise buildings.
- Smoke outlets provided to allow access via the stairs.
- Maximum distance between access doors in 60m.

1 Research P50 fire extinguishers as an alternative to traditional
extinguishers.
2 Research 3 ways to use a fire blanket.
3 Read Part 2 Sections 2 and 3 of the fire safety guide you downloaded
earlier.

10.4 Fire Evacuation
Means of Escape.
Travel Distance.
• Travel distance should be minimised to ensure that all persons in all locations can escape
before their escape route is blocked by fire.
• The maximum permitted travel distance is a function of fire risk and the number of escape
routes available.
- The higher the fire risk, the shorter the permitted travel distance.
- Shorter travel distance if there is only one escape route.
• For example, in a factory or warehouse:
- Multiple escape routes in a normal fire risk area – 45m.
- Multiple escape routes in a low fire risk area – 60m.
- Multiple escape routes in a high fire risk area – 25m.
- Single escape route in a normal fire risk area – 25m.
Stairs.
• Where practicable, stairs should be separated from other rooms with fire compartmentation.
• This usually requires fire resisting walls, floors and ceilings and fire doors.
• Stairs must be wide enough for the number of persons, minimum 750mm wide, maximum width
1400mm between handrails.
• Minimise combustible material in stairwells.
Passageways.
• Minimum 750mm width, no reduction in width along the length.
• Keep as clear as possible of obstructions, lead directly to safety.
• Keep as clear as possible of combustible material.
Doors.
• Doors separating fire compartments must be fire doors.
• Fire doors must not be propped open but can be held using magnetic release locks.
• Vision panels are recommended in fire doors.
• Doors in passageways and stairs to open in the direction of travel.
• Final exit doors should open in the direction of travel unless for a small building with low levels
of occupancy.
• Doors on escape routes to open with a single action.
• Final exit doors must be unlocked when the building is occupied.
• Final exit doors must open onto a place of safety.
Emergency Lighting.
• Should be provided at the following locations:
- Final exit doors, at intervals on escape routes.
- At corridor intersections.
- Outside final exit doors and on external escape routes.
- At firefighting and fire alarm call points.
- At changes in level, including on stairs.
- By equipment that needs to be shut down during a fire.
• Must be function tested monthly.
• Must be drained down and maintained at least annually.
Exit and Directional Signs.

• Use pictorial signs to aid understanding regardless of language.
• Signs should be provided at final exits, doorways, corridor intersections, changes in level, at
regular intervals.
• Signs are to be lit or be photo luminescent.
Assembly Points.
• Located away from the building, in a safe location.
• Sufficient points for the number of people evacuating.
• Able to walk away from the assembly point to a public road.
• Communication between assembly points.
• Nominated persons to account for all individuals in the building.
• Nominated person to liaise with the emergency services.
Emergency Evacuation Procedure
• All premises should have a suitable fire evacuation procedure.

• The procedure must be communicated.
• The fire evacuation procedure should address the following:
- What to do if a fire is discovered.
- What to do on hearing the fire alarm.
- Tasks to be performed on hearing the fire alarm such as switching off equipment or
collecting attendance registers.
- Plans to assist persons with disabilities or mobility issues.
- What to do on exiting the building.
- How to account for all persons.
- Liaison with the fire and rescue service.
- How to manage a safe return to the building.
Role and Appointment of Fire Marshals
• The Responsible Person for fire safety should appoint such persons as may be required to
assist them - fire marshals.
• The role of fire marshals may include:
- Routine fire safety inspection of an area of the building.
- Directing others to evacuate in the event of a fire alarm.
- Sweeping an area of the building to confirm evacuation.
- Assisting individuals to evacuate safely.
- Interrogating the fire alarm control panel to identify the fire location.
- Attempting to fight small fires where it is safe to do so.
- Reporting whether all persons are accounted for at assembly points.
The Purpose of Fire Drills and Roll Call
• Fire drills have several purposes:

- To remind employees of the fire evacuation procedure.
- To familiarise employees and others with the fire escape routes.
- To allow fire marshals to practice the execution of their duties.
- To identify shortcomings in fire evacuation provision and associated improvements.
• Fire drills should be practiced typically every 6-months.
• Exit routes can be blocked artificially to replicate real conditions.
• The purpose of roll call is to identify if any persons remain in the building and to report this to
the emergency services.
• Roll call may be manual or electronic or be achieved via a sweep system.

Provisions for People with Disabilities
• Alert individuals with disabilities using strobes, trembler alarms and buddies.
• Develop personal emergency evacuation plans for each individual with a disability or general
PEEPs for public buildings.
• Develop PEEPs with the individuals they affect.
• Provide refuge areas at stair landings with a communication point.
• One or more lifts may be designed for fire evacuation/firefighting use.
• Assign one or more individuals to assist persons with disabilities.
• Provide evacuation chairs to assist individuals down the stairs.
Emergency Escape Routes to be Recorded in Building Plans
• As part of the fire risk assessment, it is beneficial to develop plans showing all the fire safety
arrangements for the building.
• Drawings showing fire escape routes can be used to calculate travel distances.
• Drawings can be used to inform employees and others of the available escape routes.
• Building plans should be made available to the fire and rescue service on arrival to aid rescue.
• Building plans should show the locations of hazardous substances including significant volumes
of flammable materials and any compressed gas cylinders.

1 Download Approved Document B Volume 2 of the Building regulations
and browse section B5. https://www.gov.uk/government/publications/fire-
safety-approved-document-b
2 Browse sections 4 to 7 of the Government Fire Safety Guide of your
choice.

Element 11 – Electricity
able to:
prioritising
workplace,
recognising
a range of common
hazards, evaluating
control measures,
planning actions
11.1 Hazards and Risks
Risks of Electricity
Electric Shock
• A voltage as low as 50V between two parts of the body causes a current to flow that can block
electrical signals between the brain and muscles.
• Effects on the body can include:
- Stopping the heart beating properly.
- Preventing the person from breathing.
- Causing muscle spasms.
Factors that Affect Severity

• Voltage – higher voltage, greater danger although 110V can kill.
• Current – greater current, greater damage. 10ma can paralyse the nervous system and cause
burns.
• Frequency – low frequency alternating current is more dangerous than high frequency
alternating or direct current.
• Duration – longer contact = greater damage. Once the skin is broken, resistance drops, current
rises and damage accelerates.
• Resistance – if resistance is high, current is low. Sweaty skin has a lower resistance.
• Current Path – more than 10ma through the heart can stop it. 10ma through the arm or leg is
not fatal.
• Physiological factors – a younger, healthier person has a better chance of survival.
Electrical Burns
• When a current passes through the body it heats the tissue along the length of the current path.
• Deep burns can require surgery and are permanently disabling.
• Burns are more common with high voltage but can occur at 230V if current flows for more than
a few fractions of a second.
Thermal Burns
• Overloaded or short-circuited electrical equipment can get very hot.
• Burns can occur by getting too close to these hot surfaces or to an electrical explosion.
Common Causes of Electrical Fires
• In 2019/20 there were 10,499 primary fires in non-dwellings.

• Of those, 3,454 were caused by faulty appliances and leads or misuse of equipment or
appliances.
• Common causes of electrical fires include:
- Faulty sockets or appliances – damaged, worn.
- Poor connections due to incorrect installation or damage.
- Over-use of extension leads – number of appliances, duration of use.
- Incorrect fuse rating.
- Outdated wiring systems – insufficient capacity for current demand and worn
connectors on breakers.
- Portable devices overheating while charging.

Causes of Accidents Involving Electrical Equipment
• Unsuitable equipment.
- Using domestic rated equipment for industrial levels of use.
- Using equipment insufficiently robust for construction sites.
• Use of defective / poorly maintained electrical equipment.

- Use of damaged or quarantined electrical equipment.
- Poor quality repairs (taped joints).
- Exposed conductors at plugs and equipment.
• Use of electrical equipment in wet environments.

- Cable connectors or plugs lying in water.
- Non-intrinsically safe equipment in humid conditions.
- Electrical equipment left in standing water or in the rain.
Secondary Effects of Electric Shock
• Muscle spasms cause by current passing through the body can lead to secondary injuries
including:
- Dislocation of joints.
- Impact with objects in the immediate vicinity leading to breaks, head injuries, cuts and
bruising.
- Being thrown off ladders or out of MEWPs and falling.
- Being thrown into the path of vehicles.
- Dropping or throwing materials or tools onto other persons.
- Loss of control of vehicles causing collision.
- Contact between power tools or sharp tools and the body.
Work Near Overhead Power Lines
• Overhead power lines use high voltage ranging from 275kV-400kV.

• Electricity at high voltage can jump (arc) across small gaps on its way to earth and cause
electric shock and fire.
• Equipment that can come into contact or proximity with overhead cables includes:
- Mobile cranes.
- MEWPs and mobile towers.
- Scaffold poles.
- Ladders.
- Excavators.
- Tipper trucks.
Contact with Underground Power Cables During Excavation Work
• Low voltage power cables may be as little as 400mm below ground level. Recommended
installation depths increase as the voltage increases with 33kV cables installed from 900mm
deep.
• When a sharp object, such as the point of a tool penetrates a live cable this leads to the
explosive effects of arcing current.
• This can also occur when cables are crushed causing internal contact between the conductors.
• The impact of the explosion and fire is usually burns to the hands, face and body. Injuries are
usually very severe and often fatal.
• Impact can be caused by:
- Handheld tools – spades, picks, jackhammers.
- Machines – excavators, breakers, piling rigs.
Work on Mains Electrical Supplies
• The prevalence of 230V power supplies in our homes and workplaces can lead to complacency.
• 230V power supplies can and do kill, usually due to heart fibrillation.
• 230V power supplies are more likely to have been extended or modified by unauthorised and
untrained persons.
• This can lead to unorthodox electrical installations and dangerous situations.
• Unauthorised persons may attempt minor modifications (moving light fittings, lifting switch
plates) without isolating the power supply.
• On construction projects there may be a mixture of live power supplies, new cabling not yet
connected, isolated supplies and old disconnected supplies creating confusion.

1 Read through a selection of the FAQ’s on the HSE’s electrical safety web area.
https://www.hse.gov.uk/electricity/faq.htm
2 Read at least one case study for each type of electrical accident available on the
HSE Case Studies page for electrical experience.
https://www.hse.gov.uk/electricity/experience.htm

11.2 Control Measures
Protection of Conductors
• The most prevalent form of protection from contact with electricity is to provide a barrier
between the conductor and people.
• This is usually achieved by using power cables sheathed with insulating material. Other
methods include:
- Enclosing connections in insulated boxes including junction boxes, power sockets and
light switch covers.
- Using armoured cable to provide additional protection to cables subject to damaging
forces.
- Where power supplies would be exposed inside control cabinets, clear plastic covers
with warning signs are secured in place using screws.
- Some conveyor busbar systems use open conductors protected by insulating material
that leaves a gap too small for fingers to touch the conductor.
Strength and Capability of Equipment
• Regulation 5 of the Electricity at Work Regulations states that electrical equipment must not be
put into use where its strength and capability may be exceeded and give rise to danger. This
means:
- Power cables and circuits must be sized to safely carry the design current and likely
fault currents without failure.
- This may include fault detection equipment to prevent a circuit reaching a dangerous
fault current.
- Where equipment is used outdoors where it may get wet, it should be designed to
prevent water ingress to conductors.
- Where equipment may be subject to damaging forces, it should have enhanced
structural integrity to withstand those forces.
- This may include selecting equipment intended for industrial levels of use rather than
domestic levels of use.
Advantages and Limitations of Protective Devices
Fuses (Circuit Breakers)

• Principles
- To protect an electrical circuit from overload and subsequent failure.
- The fuse melts if the design current is exceeded, breaking the circuit.
• Advantages
- Fuses are cheap and reliable.
- They can be replaced easily, in some cases by non-electricians.
• Limitations
- They offer no protection from electric shock.
- It is easy to install the incorrectly rated fuse.
Earthing
• Principles
- Earthing offers a path of low resistance for electricity to flow to earth through a
conductor into the ground. Current will flow via the earthing in preference to flowing
through more resistant material (the human body).
• Advantages

- It reduces the current flowing through the body in the event an electric shock while in
contact with an earthed device or structure.
• Limitations
- The earthing may be damaged, disconnected or stolen thus removing the protection.
Isolation of Supply
• Principles.
- To create a break in the circuit to stop the flow of electricity.
- Switch off, unplug or use a lock out, tag out system to prevent re-energisation.
• Advantages.
- It allows safe working on circuits and equipment.
- It can be quick and easy to achieve.
• Limitations.
- The circuit may still be live (stored energy, alternative power supply).
- Some testing or fault finding can only be performed when live.
Double Insulation.
• Principles.
- One layer of insulation around the conductor and a second layer of insulation around all
the conductors in one cable.
- It prevents appliance casings becoming live if cables inside are loose.
• Advantages.
- Simple and reliable means of preventing contact with live conductors.
- Second layer of insulating material if the first is damaged.
• Limitations.
- Outer layer can often be pulled away at connections.
- Often no earthing, need to check for physical damage.
- Both layers of insulation may be damaged by the same event.
Residual Current Devices

• Principles.
- It looks for a difference between outgoing and incoming current that may indicate a
short circuit or current flowing through a person.
- Switches off the supply quickly (30ms) at low current loss (30ma).
• Advantages
- Rapid disconnection at low currents can minimise the impact of shock.
- They are easy to test and reset.
• Limitations
- They do not protect the circuit from overload like a fuse.
- They may trip repeatedly if there is a fault – leading to tampering.
- They can seize and need to be tested.
Reduced and Low Voltage Systems.

• Principles.
- Use of a step-down transformer to reduce from 230V to 110V centre tapped to earth (+/-
55V) also reduces the current.
- Battery powered tools, 18V, 24V, 32V.
• Advantages.
- Reduced voltage and current minimises harm in the event of shock.
- Battery powered tools offer flexibility of movement and location.
• Limitations
- 110V or battery power is not practicable for all appliances.
- Increase in chargers and batteries, increase in fire risk.

Use of Competent People
• Regulation 16 of the Electricity at Work Regs requires anyone working on electrical systems
where technical knowledge or experience is necessary to possess it or be under supervision.
• Individuals involved in electrical work must be competent to undertake the specific type of
work to be done. (HV, LV, domestic, industrial etc.)
• Competence can be demonstrated through skills, knowledge, experience and training.
• Competent electricians should also be self-disciplined.
• Competence should be reassessed regularly.
• Individuals should be able to recognise:
- Hazards and controls for the specific work.
- Potentially dangerous situations.
Use of Safe Systems of Work
• The safest approach is to isolate power before work on electrical systems and then to test that
the circuit is dead.
• If work on live systems cannot be avoided, suitable protection systems include:
- At least two persons in attendance.
- Use temporary covers to protect live components.
- Use temporary barriers to keep unauthorised persons away.
- Adequate space and light to work safely.
- Use of insulated test equipment and tools.
- Suitable rescue and first aid equipment readily available.
Emergency Procedures Following an Electrical Incident
• Do not touch someone who is experiencing electric shock.

• Look for and avoid water on the floor that may conduct the electricity.
• Phone the emergency services (ideally someone else).
• Turn off the power if it is safe to do so.
• If not, separate the victim from the power source using a non-conductive rescue hook (or a non-
conductive broom).
• Administer first aid:
- If not breathing, CPR and use of an AED.
- If responsive, place burns in cold water for at least 20-minutes.
- Apply burn dressings.
- Never put oils or ointments on burns.
Inspection and Maintenance Strategies
User Checks
• Electrical appliances should be checked by the user before use.
• Look for visible defects to the cables, connections and appliance casing.
• Check that the PAT label is in date.
• Check sockets for damage or burn marks before use.
• If working on existing electrical installations, look for:
- Physical damage.
- Loose connections.
- Discolouration, blackening that may suggest overheating.
- Melting to cable insulation or junction boxes.
- Use of the correct fuses for circuits.

Formal Inspection & Tests of Electrical Installation and Equipment (Fixed)
• BS 7671 recommends that electrical installations are subject to periodic inspection and testing.
• The findings should be communicated clearly in a report.
• The person conducting the inspection and test must be competent and use the correct,
calibrated testing equipment.
• Observations are coded to indicate the urgency of rectification.
Frequencies of Inspection and Testing

• Shops, offices, commercial, educational establishments – 5-years.
• Industrial facilities – 3-years.
• Rented, multiple occupancy and hotel accommodation – 5 years.
• Construction site installations – 3-months.
Formal Inspection & Tests of Electrical Installation (Portable)

• Portable electrical appliances should be subject to formal visual test and inspection at suitable
intervals by competent persons.
• Visual inspection will look for physical defects, suitability, sins of overheating or water damage,
correct wiring and fitting of plugs.
• Tests will include:
- Polarity
- Loss of earth integrity.
- Deterioration of insulation integrity.
• Tests can be conducted using specialist testing equipment.
• Reports of tests are produced and labels to show the next test date.
Frequencies of Inspection and Testing (Portable Appliance)

The frequency of test and inspection is linked to the likelihood of damage and the consequences.
Type of Business User Checks Formal Visual Combined

Inspection Inspection & Test
Equipment hire N/A Before issue/after Before issue
return
Battery operated No No No
equipment (<40V)
Extra low voltage (<50V) No No No
Construction 110V Weekly Monthly 3-monthly
230V Daily Weekly Monthly
Fixed Daily Weekly 3-months
RCD (portable only)
Site office Monthly 6-monthly Before 1st use on site,
equipment the yearly.
Advantages and Limitations of In-service Inspection and testing of Electrical Equipment

• Advantages.
- It can identify faults that cannot be identified through visual inspection.
- It allows someone other than the user to check equipment condition.
• Limitations.
- It only tests the appliance, not the socket it is plugged into.
- It provides a false sense of confidence in the appliance’s condition.
- The appliance could be damaged minutes after being tested.
- It requires specialist equipment and specially trained persons.
- Equipment must be made available for testing.

1 Research how double insulation provides protection from electric shock.
2 Explore the principles of how an RCD works and the checks that should
be made to ensure their continued safe operation.
3 Download and familiarise yourself with HSE publication for electrical
safety. https://www.hse.gov.uk/pubns/priced/hsr25.pdf
4 Study Figures 1 – 5 in HSE Publication Electricity at Work - Safe working
practices https://www.hse.gov.uk/pubns/priced/hsg85.pdf
5 Read Electrical Safety First’s publication
https://www.electricalsafetyfirst.org.uk/media/2149/bpg4-1.pdf
6 Search for fixed electrical inspection and test intervals to see the full
range of recommended intervals for building use.
7 Download and read HSE publication HSG 107 – Maintaining portable
electrical equipment. https://www.hse.gov.uk/pubns/priced/hsg107.pdf

NG2 Practical Assessment Guidance
NEBOSH does not allow tutors to comment on assessment tasks once they are in progress.
Purpose of the assessment
The purpose of the assessment is to test your knowledge and understanding of the syllabus content
through a risk assessment carried out in your workplace.
Location of the assessment
The assessment should be carried out in your workplace. If you do not have access to a suitable
workplace, you may arrange access to an alternative workplace through a family member or friend. If this
is not possible, please contact education@britsafe.org for advice.
Your workplace needs to be large enough to provide a sufficient range of hazard categories/hazards. If
you work for a large organization, we recommend that you concentrate on one part of the organisation
or a specific activity or process. If you are unsure, ask your tutor for advice
Confidentiality
The name and location of the organisation may be changed in the interests of confidentiality. For
example, you can refer to “XYZ Limited”. The organisation that forms the subject of the assessment must
be ‘real’ in all other respects. Fictitious workplaces or simulated scenarios are not acceptable.
Assessment forms
The various forms that you need to complete can be downloaded from the NEBOSH website:
https://www.nebosh.org.uk/qualifications/national-general-certificate/
Click on ‘NG2 practical guidance’ to access the ‘Assessment pack’.
The assessment pack contains two sets of forms: one for a hand-written assessment and the other for
an electronic submission.
We recommend that you submit electronically. When you start your assessment, double-click the page
footer and insert your learner number and name on the first sheet. The page numbering will change
automatically as you use more pages.
If you hand-write your assessment, you must ensure that your learner number and name are written on
the top of every form. You must also ensure that you include the page numbers at the top of every sheet
where indicated, e.g. page 1 of 8.
Meeting the assessment criteria
NEBOSH has very strict marking criteria. For example, in your description of
the organisation you must include products manufactured or services provided, the types of activities
undertaken and shift patterns worked. If you fail to refer to one of these, you will fail the
assessment. With this in mind, you are strongly advised to follow this guidance document to the letter.
Tutor support

NEBOSH has strict rules about the amount of support that tutors can provide. You can check with your
tutor whether your workplace, activity or process provides sufficient scope to achieve the necessary
breadth and depth of content required (and we advise you to do this). However, tutors are not allowed
to comment on assessments once they are in progress, nor can they provide a ‘pre-mark’.
Worked example
NEBOSH has produced a worked example to give you an idea of what a good
assessment looks like. Make sure you don’t copy any parts of this worked example; you will get caught
by anti-plagiarism software.
Plagiarism
The assessment must be your own unaided work. NEBOSH uses anti-plagiarism software which
compares your assessment with all other assessments that have been submitted and with the worked
example. The software generates an ‘originality’ report which highlights any sections of text which have
appeared elsewhere. If you copy from someone else, or if you allow your work to be copied, this is
plagiarism. Proven cases of plagiarism will result in disqualification and you may be banned from taking
future NEBOSH qualifications.
Submitting your assessment
If you have booked your NG2 submission for the same time as your exam the deadline for submission is
approximately two weeks after the date of your NG1 examination.
Your submission should be e-mailed as a PDF to examinations.officer@britsafe.org
Remember to put your learner number and name on your submission.
If you have any queries about the submission, please e-mail examinations.officer@britsafe.org
Marking
Your assessment will be marked by an examiner appointed by NEBOSH.
Results
Your result will be issued within 10 weeks of submission. You will receive a ‘Pass’ or ‘Refer’.
Resubmissions
In the event of a resubmission, you will need to register for the assessment again and pay the
appropriate fee. There is no limit on the number of times you can resubmit. However, both units
(NG1 and NG2) must be passed within a five-year period.
Tips for passing
Only parts 2 and 3 of the assessment can be referred, but all parts must be completed.
The main reasons assessors refer an NG2 submission are as follows:

• The student does not identify a minimum of 10 hazards across a minimum of 5 hazard categories
(Part 2)
• The student does not complete all columns correctly within the risk assessment table (Part 2)
• The student does not provide moral, legal and financial arguments for all actions (Part 3)
Guidance for the practical risk assessment, templates and the worked example of the practical risk
assessment can be download from the NEBOSH website:
https://www.nebosh.org.uk/qualifications/national-general-certificate/#resources
ACM Asbestos Containing Material

ACoP Approved Code of Practice
ACS Approved Contractor Scheme
AIR Accident Injury Rate
ALARP As Low as Reasonably Practicable (see also SFAIRP)
BLEVE Boiling Liquid Expanding Vapour Explosion
BSC British Safety Council
BSI British Standards Institute
CA Corrective Action
CDG The Carriage of Dangerous Goods by Road Regulations 2009
CDM Construction (Design & Management) Regulations 2015
CHIP Chemical Hazards Information and Packaging
CIEHF Chartered Institute of Ergonomics and Human Factors
CLP Classification, Labelling and Packing of Substances and Mixtures
CITB Construction Industry Training Board
CPP Construction Phase Plan
CPR Cardiopulmonary Resuscitation
COMAH Control of Major Accident Hazards Regulations 2015
COSHH Control of Substances Hazardous to Health Regulations 2002
dB Decibel (db(A) = A-weighted, db(C) = C-weighted)
DDA Disability Discrimination Act 1995
DSE Display Screen Equipment
DSEAR Dangerous Substances & Explosive Atmosphere Regulations 2002
EA Environmental Agency
EAV Exposure Action Value
EHO Environmental Health Officer
ELV Exposure Limit Value
FLT Fork Lift Truck
HACCP Hazard Analysis Critical Control Point HAV Hand Arm Vibration
HAVS Hand Arm Vibration Syndrome
HSE Health & Safety Executive
HSG Health and Safety Guidance document HSF Health & Safety File
HSWA Health and Safety at Work etc. Act 1974 IFSM Institute of Fire Safety Managers
ILO International Labour Organization
IN Improvement Notice
IOSH Institution of Occupational Safety & Health IP Injured Person/Party
ISO International Organization for Standardization
LEL Lower Exposure Limit (see also MEL and UEL) LEV Local Exhaust Ventilation
LOLER Lifting Operations and Lifting Equipment Regulations 1998
LTA Lost Time Accident
LTEL Long-Term Exposure Limit
LTI Lost Time Incident
MEL Maximum Exposure Limit (see also LEL and UEL)
MEWP Mobile Elevated Work Platform
MHSWR Management of Health & Safety at Work Regulations 1999
MSD Musculoskeletal Disorder
NAWR Control of Noise at Work Regulations 2005
NC Non-Conformance
NEBOSH National Examination Board of Occupational Safety and Health
NIHL Noise Induced Hearing Loss
OEL Occupational Exposure Limit (see also WEL)
OHSMS Occupational Health and Safety Management System
OSH Occupational Safety and Health
PAT Portable Appliance Testing
PEEP Personal Emergency Evacuation Plan
PN Prohibition Notice
PPE Personal Protective Equipment
PPEWR Personal Protective Equipment at Work Regulations 1992
PSSR Pressure Systems Safety Regulations 2000
PTW Permit to Work
PUWER Provision & Use of Work Equipment Regulations 1998
QHSE Quality, Health, Safety and Environment
RA Risk Assessment
RAMS Risk Assessment and Method Statements
RIDDOR Reporting of Injuries, Disease & Dangerous Occurrences Regulations 2013
RPE Respiratory Protective Equipment
RRFSO Regulatory Reform (Fire Safety) Order 2005
RSI Repetitive Strain Injury
SDS Safety Data Sheet
SFAIRP So Far As Is Reasonably Practicable (see also ALARP)
SRO Statutory Regulation Order
SOP Standard Operating Procedure
SSOP Safe Standard Operating Procedure
SSOW Safe System of Work
STEL Short-Term Exposure Limit
SWL Safe Working Load
TILE Task, Individual, Load, Environment
UEL Upper Exposure Limit (see also LEL and MEL)
UKATA UK Asbestos Training Association
VAWR Vibration at Work Regulations 2005
VDU Visual Display Unit
VWF Vibration White Finger
WAHR Work at Height Regulations 2005
WBV Whole Body Vibration
WEL Workplace Exposure Limit (see also OEL)
WHO World Health Organization
WHSWR Workplace (Health Safety & Welfare) Regulations 1992
WMS Work Method Statement
WRULD Work Related Upper Limb Disorder

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British Safety Council NEBOSH National General Certificate Study Notes

© British Safety Council 2021

Syllabus specification and content © NEBOSH, reproduced with permission*

NEBOSH National General Certificate Study Notes 2

NEBOSH National General Certificate Study Notes 4

5 Physical and psychological health

7 Chemical and biological agents Practical assessment

8 General workplace issues Unit NG2:

Additional guidance and resources supplied by NEBOSH can be found at:

NEBOSH National General Certificate Study Notes 5

Task: Influencing health and safety culture

How to maximise marks for this question:

The lack of investigation of incidents is a negative indicator of

Workers rushing is a negative indicator of safety culture as it

Senior A negative indicator of safety culture is management not wearing

NEBOSH National General Certificate Study Notes 7

• Workers blamed for accidents

• A negative indicator of safety culture is management blaming employees for issues.

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Learning outcome Related Assessment criteria Assessment

1.1 Morals and Money

The Moral Expectations of Good Standards of Health and Safety.

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The Financial Cost of Incidents (Insured and Uninsured Costs).

▪ Each accident at work incurs a financial cost.

Insured costs – some costs can be recovered via insurance.

Uninsured costs – some costs cannot be insured.

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Exam Style Questions

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There are two distinct sources of law:

Statutory Used to provide Legal Status

A ‘quasi legal’ standing.

Legal Framework Example – Lighting

Absolute and Qualified Duties

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The Importance of Common Law

Relevance of Statute and Common Law to Criminal and Civil Law

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Burden and Onus of Proof.

Criminal Law Liabilities

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The functions of the Health and Safety Executive are to:

Why Fees for Intervention Are Charged

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Civil Law Liabilities

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Unit 1.2 Self-study activities Completed ✓

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Health and Safety at Work etc. Act 1974 (HSWA)

Section 2 – Duties of Employers to Employees

Section 2(2) – Specific duties

Section 2(3) – Safety policy

Section 2(6) – Consultation

Section 2(7) – Safety Committee

Section 3 – Duties of Employers and Self-Employed to Persons Other Than Employees

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Section 6 – Duties of Designers, Importers, Manufacturers and Suppliers

Section 7 – Duties of Employees

Section 8 – Duties of All Persons

Section 9 – Duty of Employer Not to Charge