GWG - Nebosh

Green World Group
Unit IG1:
Management of
Health and safety
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CONTENTS
ELEMENT 1: WHY WE SHOULD MANAGE WORKPLACE HEALTH AND SAFETY ...................................... 12

1.1 MORALS AND MONEY ........................................................................................................... 14
The Size of the Problem .......................................................................................................................... 14
Reasons for Managing Health and Safety ............................................................................................... 14
1.2 REGULATING HEALTH AND SAFETY.............................................................................................. 19
Role of Enforcement Agencies ................................................................................................................ 19
The Role of International Standards ....................................................................................................... 20
Employer’s Responsibilities .................................................................................................................... 21
Responsibilities of Employees................................................................................................................. 22
Rights of Employees ................................................................................................................................ 22
Sources of Information on National and International Standards ......................................................... 23
1.3 WHO DOES WHAT IN ORGANISATIONS ....................................................................................... 24
Directors.................................................................................................................................................. 24
Middle Managers .................................................................................................................................... 25
Supervisors .............................................................................................................................................. 25
Health and Safety Personnel ................................................................................................................... 26
Controller of Premises ............................................................................................................................ 26
Self-Employed ......................................................................................................................................... 27
Designers, Suppliers and Manufacturers ................................................................................................ 27
Occupier of Premises: Joint Responsibilities........................................................................................... 27
Managing Contractors ............................................................................................................................ 28
Summary ................................................................................................................................................. 30
ELEMENT 2: HOW HEALTH AND SAFETY MANAGEMENT SYSTEMS WORK AND WHAT THEY LOOK LIKE
........................................................................................................................................................ 31
2.1 WHAT THEY ARE AND THE BENEFITS THEY BRING ........................................................................ 33
ILO (OSH) 2001: Occupational Health and Safety Management System................................................ 33
ISO 45001:2018: Occupational Health and Safety Management System ............................................... 35
2.2 WHAT GOOD HEALTH AND SAFETY MANAGEMENT SYSTEMS LOOK LIKE ...................................... 37
Purpose of a Health and Safety Policy .................................................................................................... 37
The Contents of a Health and Safety Policy with Reference to ISO 45001:2018.................................... 37
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Review of Health and Safety Policy......................................................................................................... 42

Standards and Guidance on Health and Safety Policy ............................................................................ 43
Summary ................................................................................................................................................. 45
ELEMENT 3: MANAGING RISK – UNDERSTANDING PEOPLE AND PROCESSES ...................................... 46
3.1 HEALTH AND SAFETY CULTURE ................................................................................................... 48
Meaning of the Term ‘Health and Safety Culture’ .................................................................................. 48
Health and Safety Culture and Performance .......................................................................................... 48
Features of a Positive Safety Culture ...................................................................................................... 49
Safety Culture Indicators......................................................................................................................... 49
Influence of Peers ................................................................................................................................... 50
3.2 IMPROVING HEALTH AND SAFETY CULTURE ................................................................................ 51
Management Commitment .................................................................................................................... 51
Competence ............................................................................................................................................ 51
Effective Communication ........................................................................................................................ 52
Cooperation and Consultation with Employees ..................................................................................... 57
Training ................................................................................................................................................... 59
3.3 HOW HUMAN FACTORS INFLUENCE BEHAVIOUR POSITIVELY OR NEGATIVELY ............................. 61
Organisational Factors ............................................................................................................................ 62
Job Factors .............................................................................................................................................. 62
Individual Factors .................................................................................................................................... 63
Link between the Factors ........................................................................................................................ 64
3.4 ASSESSING RISK .......................................................................................................................... 66
Hazard ..................................................................................................................................................... 66
Risk .......................................................................................................................................................... 66
Risk Assessment ...................................................................................................................................... 66
Objectives of Risk Assessments .............................................................................................................. 66
Suitable and Sufficient Risk Assessment ................................................................................................. 67
Steps of Risk Assessment ........................................................................................................................ 68
General Principles of Prevention ............................................................................................................ 71
Hierarchy of Measures (ISO 45001:2018) ............................................................................................... 71
Special Case Applications ........................................................................................................................ 77
3.5 MANAGEMENT OF CHANGE ........................................................................................................ 81
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Change Identification .............................................................................................................................. 81

Control Measures to Mitigate the Impact of Change ............................................................................. 82
Review of Change.................................................................................................................................... 82
3.6 SAFE SYSTEMS OF WORK FOR GENERAL WORK ACTIVITIES .......................................................... 83
Purpose of Safe System of Work............................................................................................................. 83
Worker Involvement in Safe System of Work ......................................................................................... 83
Importance and Relevance of Written Procedures ................................................................................ 83
Technical, Procedural and Behavioural Control...................................................................................... 84
Developing Safe System of Work ............................................................................................................ 85
3.7 PERMIT-TO-WORK SYSTEMS ....................................................................................................... 88
Meaning .................................................................................................................................................. 88
Role and Function ................................................................................................................................... 88
Operation and Application ...................................................................................................................... 88
Limitations of the Permit to Work System.............................................................................................. 89
Specific Use ............................................................................................................................................. 90
3.8 EMERGENCY PROCEDURES ......................................................................................................... 91
Importance of Developing Emergency Procedures ................................................................................ 91
Crisis Management ................................................................................................................................. 91
Characteristics of Emergencies ............................................................................................................... 91
Emergency Procedure Arrangements ..................................................................................................... 91
First Aid Requirements............................................................................................................................ 93
First Aid and First Aid Facilities ............................................................................................................... 93
Assessing First Aid Requirements ........................................................................................................... 94
Requirement of First Aid Boxes .............................................................................................................. 94
First-Aid Equipment ................................................................................................................................ 95
Maintaining Records and Providing Information .................................................................................... 95
Summary ................................................................................................................................................. 96
ELEMENT 4: HEALTH AND SAFETY MONITORING AND MEASURING ................................................... 97
4.1 ACTIVE AND REACTIVE MONITORING .......................................................................................... 99
Monitoring of Performance Standards ................................................................................................... 99
Systematic Inspections............................................................................................................................ 99
Report Writing ...................................................................................................................................... 102
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Sampling, Surveys and Tours ................................................................................................................ 103

Reactive Monitoring Methods .............................................................................................................. 104
Difference between Leading and Lagging Indicators ............................................................................ 105
4.2 INVESTIGATING INCIDENTS ....................................................................................................... 106
Role and Need for Investigation ........................................................................................................... 106
Factors to Be Considered Before Undertaking the Investigation ......................................................... 107
Investigation Team................................................................................................................................ 107
The Incident Investigation Procedure ................................................................................................... 108
4.3 HEALTH AND SAFETY AUDITING ................................................................................................ 112
Meaning of Health and Safety Audit ..................................................................................................... 112
Scope and Purpose of Auditing Management System.......................................................................... 112
Distinctions between Audit and Inspections ........................................................................................ 112
Types of Audit ....................................................................................................................................... 112
The Audit Stages ................................................................................................................................... 113
Responsibilities for Audits..................................................................................................................... 114
Advantages and Disadvantages of External and Internal Audits .......................................................... 114
Audit Action Plan .................................................................................................................................. 115
4.4 REVIEW OF HEALTH AND SAFETY PERFORMANCE ...................................................................... 116
Purpose of Reviewing Health and Safety Performance ........................................................................ 116
Factors to Consider for Review ............................................................................................................. 117
Feeding Into Action and Development Plans as Part of Continuous Improvement ............................. 118
Summary ............................................................................................................................................... 119
ELEMENT 5: PHYSICAL AND PSYCHOLOGICAL HEALTH ..................................................................... 122
5.1 NOISE....................................................................................................................................... 124
Anatomy of Ear ..................................................................................................................................... 124
Health Effects of Noise.......................................................................................................................... 124
Noise Related Terms ............................................................................................................................. 125
Noise Assessments ................................................................................................................................ 127
Noise Control ........................................................................................................................................ 128
Role of Health Surveillance ................................................................................................................... 130
5.2 VIBRATION ............................................................................................................................... 131
Terms and Definitions ........................................................................................................................... 131
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Effects of Exposure to Vibration ........................................................................................................... 131

Hand Arm Vibration .............................................................................................................................. 131
Whole Body Vibration ........................................................................................................................... 132
Vibration Assessment ........................................................................................................................... 132
Vibration Control Measures .................................................................................................................. 133
Providing Health Surveillance ............................................................................................................... 134
5.3 RADIATION............................................................................................................................... 135
Ionising and Non-Ionising Radiation ..................................................................................................... 135
Ionising Radiation – Effects and Controls ............................................................................................. 135
Occupational Sources of Ionising Radiation.......................................................................................... 138
Non-Ionising Radiations – Effects and Controls .................................................................................... 138
Occupational Sources of Non-Ionising Radiation.................................................................................. 140
Monitoring and Health Surveillance ..................................................................................................... 140
5.4 MENTAL ILL-HEALTH ................................................................................................................. 141
Causes and Effects ................................................................................................................................ 141
Control Measures.................................................................................................................................. 142
5.5 VIOLENCE AT WORK ................................................................................................................. 143
People at Risk ........................................................................................................................................ 143
5.6 SUBSTANCE ABUSE AT WORK ................................................................................................... 145
Types of Substances Misused At Work ................................................................................................. 145
Risks to Health and Safety .................................................................................................................... 145
Risk Control Measures .......................................................................................................................... 146
Summary ............................................................................................................................................... 147
ELEMENT 6: MUSCULOSKELETAL HEALTH ........................................................................................ 148
6.1 WORK-RELATED UPPER LIMB DISORDERS (WRULD) ................................................................... 150
Meaning and Scope of WRULD ............................................................................................................. 150
Ill Health Effects of Poorly Designed Tasks and Workstations.............................................................. 151
Factors Increasing the Risk to Ill-Health Condition ............................................................................... 151
Display Screen Equipment .................................................................................................................... 152
6.2 MANUAL HANDLING................................................................................................................. 154
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Common Types of Manual Handling Injury .......................................................................................... 154

Manual Handling Risk Assessment ....................................................................................................... 155
Manual Handling Techniques ............................................................................................................... 158
Manual Handling Precautions ............................................................................................................... 158
6.3 LOAD-HANDLING EQUIPMENT .................................................................................................. 161
Common Types – Hazards and Controls ............................................................................................... 161
Pallets Trucks ........................................................................................................................................ 161
People Handling Aids ............................................................................................................................ 162
Powered Load Handling Equipment ..................................................................................................... 163
Summary ............................................................................................................................................... 169
ELEMENT 7: CHEMICAL AND BIOLOGICAL AGENTS .......................................................................... 170
7.1 HAZARDOUS SUBSTANCES ........................................................................................................ 172
Forms of Substances ............................................................................................................................. 172
Biological Agents ................................................................................................................................... 173
Classification of Chemical Substance .................................................................................................... 173
Health Effects ........................................................................................................................................ 174
7.2 ASSESSMENT OF HEALTH RISKS ................................................................................................. 176
Routes of Entry...................................................................................................................................... 176
Assessment of Health Risk .................................................................................................................... 178
Sources of Information ......................................................................................................................... 179
Role and Limitation of Hazardous Substance Monitoring .................................................................... 181
7.3 OCCUPATIONAL EXPOSURE LIMITS ........................................................................................... 182
Purpose of Occupational Exposure Limits (OEL) ................................................................................... 182
Long Term and Short Term Limits ......................................................................................................... 182
Limitations of Exposure Limits .............................................................................................................. 183
7.4 CONTROL MEASURES ............................................................................................................... 184
Prevention and Control ......................................................................................................................... 184
Principles of Good Practice ................................................................................................................... 184
Implementing the Principles of Good Practice ..................................................................................... 185
Respiratory Protective Equipment........................................................................................................ 188
7.5 SPECIFIC AGENTS ...................................................................................................................... 192
Asbestos ................................................................................................................................................ 192
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Carbon Monoxide ................................................................................................................................. 193

Blood Borne Viruses .............................................................................................................................. 194
Cement .................................................................................................................................................. 194
Legionella bacteria ................................................................................................................................ 195
Leptospira bacteria ............................................................................................................................... 195
Silica ...................................................................................................................................................... 196
Wood Dust ............................................................................................................................................ 196
Summary ............................................................................................................................................... 197
ELEMENT 8: GENERAL WORKPLACE ISSUES ..................................................................................... 198
8.1 HEALTH, WELFARE AND WORK ENVIRONMENT REQUIREMENTS................................................ 200
Welfare Requirements .......................................................................................................................... 200
Working Environment ........................................................................................................................... 201
Effects of Exposure to Extremes of Temperatures ............................................................................... 203
8.2 WORKING AT HEIGHT ............................................................................................................... 205
Hazards and Risk Factors ...................................................................................................................... 205
Work At Height – Risk Assessment ....................................................................................................... 207
Preventing Falls and Falling Materials .................................................................................................. 207
Emergency Rescue from Heights .......................................................................................................... 208
Minimising Distance of fall.................................................................................................................... 208
Safe Working Practices When Using Common Forms of Access Equipment ........................................ 209
Prevention of Falling Materials through Safe Stacking and Storage .................................................... 215
8.3 SAFE WORKING IN CONFINED SPACES ....................................................................................... 217
Identification of a Confined Space ........................................................................................................ 217
Controlling Risk of Working in Confined Spaces ................................................................................... 218
Emergency Procedures for Confined Spaces ........................................................................................ 218
8.4 LONE WORKING ....................................................................................................................... 220
Safe Procedures .................................................................................................................................... 220
8.5 SLIPS AND TRIPS ....................................................................................................................... 221
8.6 SAFE MOVEMENT OF PEOPLE AND VEHICLES IN THE WORKPLACE.............................................. 223
Hazards to Pedestrians from Workplace Transport Operations........................................................... 223
Vehicle Movement Risks ....................................................................................................................... 223
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Control Measures for the Safe Movement of People and Workplace Vehicles ................................... 225
8.7 WORK-RELATED DRIVING ......................................................................................................... 228
The Benefits of Adopting ISO 39001 ..................................................................................................... 228
Evaluating the Risks .............................................................................................................................. 228
Hazards Associated With the Use of Electric and Hybrid Vehicles ....................................................... 233
Summary ............................................................................................................................................... 234
ELEMENT 9: WORK EQUIPMENT ..................................................................................................... 235
9.1 GENERAL REQUIREMENTS ........................................................................................................ 237
Types of Work Equipment .................................................................................................................... 237
Selection and Suitability of Equipment ................................................................................................. 237
Preventing Access to Dangerous Parts ................................................................................................. 238
Restrict Use and Maintenance .............................................................................................................. 238
Information, Instruction and Training................................................................................................... 238
Maintenance ......................................................................................................................................... 239
9.2 HAND-HELD TOOLS ................................................................................................................... 243
Hand Held Non-power Tools ................................................................................................................. 243
Portable Power Tools ............................................................................................................................ 244
9.3 MACHINERY HAZARDS .............................................................................................................. 245
Potential Consequences as a Result of Contact With, or Exposure to, Mechanical or Other Hazards 245
Hazards of Different Range of Equipment ............................................................................................ 246
9.4 CONTROL MEASURES FOR MACHINERY ..................................................................................... 248
The Hierarchy of Controls for Machinery Guarding.............................................................................. 248
Application of Safeguard....................................................................................................................... 252
Basic Requirements for Guards and Safety Devices ............................................................................. 253
Summary ............................................................................................................................................... 254
ELEMENT 10: FIRE .......................................................................................................................... 255
10.1 FIRE PRINCIPLES ..................................................................................................................... 257
The Fire Triangle ................................................................................................................................... 257
Sources of Fuel, Oxygen and Heat ........................................................................................................ 257
Classification of Fires ............................................................................................................................ 258
Principles of Heat Transmission and Fire Spread.................................................................................. 258
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Common Causes and Consequences of Fire ......................................................................................... 260

10.2 PREVENTING FIRE AND FIRE SPREAD ....................................................................................... 261
Control of Combustible and Flammable Materials ............................................................................... 261
Storage of Flammables ......................................................................................................................... 261
Control of Ignition Sources ................................................................................................................... 262
Good Housekeeping .............................................................................................................................. 262
Compartmentation ............................................................................................................................... 262
Properties of Common Building Materials............................................................................................ 263
Protection of Openings and Voids ........................................................................................................ 263
Suitability of Electrical Equipment ........................................................................................................ 263
10.3 FIRE ALARMS AND FIRE-FIGHTING ........................................................................................... 265
Common Fire Detection/Alarm Systems .............................................................................................. 265
Extinguishing Media .............................................................................................................................. 267
Access for Fire and Rescue Service Vehicles ......................................................................................... 268
10.4 FIRE EVACUATION .................................................................................................................. 269
Means of Escape ................................................................................................................................... 269
Emergency Evacuation Procedures....................................................................................................... 271
Role and Appointment of Fire Marshals ............................................................................................... 272
Provisions for People with Disabilities .................................................................................................. 273
Building plans to include details of emergency escapes. ..................................................................... 274
Summary ............................................................................................................................................... 275
ELEMENT 11: ELECTRICITY .............................................................................................................. 276
11.1 HAZARDS AND RISKS .............................................................................................................. 278
Principles of Electricity .......................................................................................................................... 278
Hazards and Effects of Electricity .......................................................................................................... 278
Portable Electrical Equipment .............................................................................................................. 281
Work near Overhead Power Lines ........................................................................................................ 283
Contact with Buried Power Cables during Excavation .......................................................................... 284
Use of Electrical Equipment in Wet Environment ................................................................................ 284
11.2 CONTROL MEASURES.............................................................................................................. 285
Protection of Conductors ...................................................................................................................... 285
Strength and Capability of Equipment .................................................................................................. 285
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Electricity Protection Devices ............................................................................................................... 285

Use of Competent Persons ................................................................................................................... 287
Use of Safe Systems of Work ................................................................................................................ 287
Emergency Procedures Following an Electrical Incident ...................................................................... 288
Inspections, Testing and Maintenance ................................................................................................. 289
Summary ............................................................................................................................................... 291
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ELEMENT 1: WHY WE SHOULD MANAGE WORKPLACE HEALTH AND

SAFETY
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Learning outcomes
1.1 Outline the moral, social and financial reasons for promoting good
standards of health and safety in the workplace.
1.2 Outline the role of national governments and international bodies in

formulating a framework for the regulation of health and safety.
1.3 Outline the health and safety roles and responsibilities of employers,
directors, managers, supervisors, workers and other relevant parties.
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1.1 MORALS AND MONEY
Credit: http://www.puaf.org.uk/
The Size of the Problem

The International Labour Organisation (ILO) approximates that some 2.3 million women and men
worldwide gets killed due to job-related accidents or diseases every year; this represents over 6000 deaths
every single day. Worldwide, there are around 340 million occupational accidents and 160 million victims
of work-related illnesses each year. Past experience worldwide has shown that the majority of accidental
deaths, injuries and illness could have been prevented. Accidents and ill health have an impact on
organisations in terms of costs, low staff morale and productivity. The implications for the employees and
their families include ill health both mentally and physically & financial losses. Some findings from ILO’s
statistical data on occupational accidents and diseases, and work-related deaths on a world-wide level,
include:
• Occupational diseases cause the majority of deaths in workplaces. Hazardous substances are
estimated to cause 651,279 deaths every year.
• It is the construction industry which has a disproportionately high rate of recorded accidents.
• Younger and older workers are particularly vulnerable to the workplace hazards. The ageing
population in developed countries means that an increasing number of the elderly are working
and need special consideration.
The management focus in the past had been mainly safety issues, possibly because accidents are very
visible and often dramatic. The chronic nature of many health problems (deafness, musculoskeletal
disorders, asthma, cancer etc.) perhaps makes them less exciting.
Reasons for Managing Health and Safety

Moral Reasons
Failure in health and safety within an organisation will result in injury, loss or pain to an employee or
person affected by the work of the organisation. It would be rare for an organisation to take a corporate
view that this discomfort and suffering was an essential part of their company, however this mindset
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should be avoided. Organisations regard their staff as their prime assets and they have a moral obligation
to prevent unnecessary suffering and loss of life. Most companies do not set out to cause harm, but they
may fail to take adequate steps to manage health and safety, with devastating results.
Moral Duty of Care

In many countries, specific legal requirements exist that require employers to develop effective ways of
ensuring the safety of workers and others by providing safe place of work, safe environment, safe
equipment and qualified workers.
Provide Safe Place of Work: An employer is
expected to provide a workplace free of hazards,
good access and egress, well house kept and lay
out of workstations, welfare facilities, good
lighting, ventilations and emergency
arrangements.
Provide Safe Equipment & Substances:
Employers are expected to provide safe
hardware and substances which would be
required to be used routinely and non-routinely.
Provide Safe System of Work: Once reliable
equipment and substances are provided, employers must make sure that safe systems and procedures
are developed to use them.
Provide Safe Training and Instruction: The established safe system must be adequately
communicated through trainings and instructions to people who are expected to use them.
Provide Safe Supervision: It is also employer’s responsibility to ensure that the safe systems are
properly implemented through competent advice and supervision.
Legal Reasons
Legislation sets the boundaries within which organisations must operate. Health and safety law evolved
significantly in the later part of the 20th century. Increased prosperity and improved standards of living
have led to greater public demands for safer, healthier work places, cleaner environments and more
reliable products. There’s also been a growing view that governments have a duty to protect people
through legislation from involuntary harm. On the other hand, industry requires that health and safety
legislation shouldn’t restrict competitiveness or technological development too much.
Most of the countries have laws on health and safety and many will have various forms of punishment for
failing to comply. Purpose of law is to control antisocial behaviour, regulate conduct of society, resolve
conflict and set standards for behaviour. There may be criminal sanctions and civil remedies. Punishment
can mean fines or jail or both. Many organisations have recognised the benefits of managing health and
safety and therefore choose to do much more than just complying with the law.
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Levels of Statutory Duties

There are three tiers of statutory duty which form a hierarchy of functions. These levels are used
extensively in health and safety regulatory (criminal) law but have been defined by judges under common
law. The three levels of duty are:
Absolute Duty - This is the highest level of responsibility and, often, occurs when the risk of injury/ ill-
health is so high that damage is unavoidable unless safety preventative measures are taken. Throughout
the world there are many health and safety management requirements contained in law that place an
absolute duty on employers.
Practicable - A function that the ‘business ensures, so far as is
practicable, that any control measure is maintained in an
efficient state’ means that if the function is technically possible
(feasible) then the same must be done irrespective of cost,
inconvenience or difficulty.
Reasonably Practicable - This is by far the most common level
of duty, learners will discover in health and safety legislation.
Financial Reasons
The business case for health and safety is simply that accidents
and ill health cost money. When an accident occurs there will be direct and indirect costs associated with
that event. Some of these losses can be insured against, but many cannot. Accidents and ill health can
significantly affect the profitability of an organisation and, in some cases, can put an organisation out of
business..
Direct Costs and Indirect Costs

When an accident occurs there are two types of losses that the organisation may face:
• Direct costs - the measurable costs arising directly from the accident.
• Indirect costs - those which arise indirectly as a consequence of the event. Indirect costs are often
difficult to quantify precisely and may be hard to identify.
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Direct Costs Indirect Costs

• Fines in the criminal courts. • Loss of staff from productive duties in order
• Compensation payable to the victim, which to investigate the incident, prepare reports,
is likely to be met by insurance cover and will undertake hospital visits, deal with relatives,
therefore result in an increase in insurance attend court proceedings.
premiums. • Loss of staff morale (which impacts on
• First-aid treatment. productivity, quality and efficiency).
• Worker sick pay. • Cost of remedial action following an
• Repairs to, or replacement of, damaged investigation, e.g. change of process or
equipment and buildings. materials and/or the introduction of further
• Lost or damaged product. control measures.
• Lost production time whilst dealing with the • Compliance with any enforcement notice
injury. served.
• Overtime to make up for lost time. • Cost of recruiting and training temporary or
• Costs associated with the rehabilitation of replacement labour.
the injured worker and their return to work. • General difficulties in recruiting and
retaining staff as an indirect result of the
accident.
• Loss of goodwill of customers following
delays in production and fulfilling orders.
• Activation of penalty clauses for failing to
meet delivery dates.
• Damage to public image and business
reputation.
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Costs of Insured and Uninsured Accidents and Ill Health

It is usually possible to take out insurance to cover some of the losses that might foreseeably occur to an
organisation. In most countries it is compulsory to take out employers’ liability insurance so that if a
worker is killed or injured at work there is insurance in place to pay that worker (or their dependents)
compensation and to meet the employer’s civil costs. As well as meeting a legal requirement, this
insurance may provide some comfort to workers, knowing that in the event of an injury the employer is
insured to compensate them financially. Similarly, it is usual for an employer to insure their premises and
stock against fire.
However, it is not possible to insure against all losses. Some losses are uninsurable by their very nature.
For example, you cannot take out an insurance policy to pay money should you be prosecuted and fined
in the criminal law courts. Other losses cannot be insured against because the loss is too difficult to
quantify, or because the insurance would be too expensive to consider. For example, organisations cannot
insure themselves against loss of revenue if their business reputation is damaged as a result of a major
workplace accident. There is no law that prevents this type of insurance, but it is simply not offered by
insurance providers. Many of the direct and indirect costs associated with workplace accidents are
uninsured for these reasons. It has been estimated that uninsured losses are between 8 and 36 times
greater than insured losses.
Employer Liability Insurance

This protects the company against its legal responsibility for death or injury to employees acting in the
course of their employment. It enables the organization to meet the costs of compensation and legal
fees. Insurance companies may impose requirements for employers to improve their health and safety
standards and practices before issuing coverage.
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1.2 REGULATING HEALTH AND SAFETY

Role of Enforcement Agencies
Throughout the world there are differences to be seen with the methods in which legislation is
implemented with regard to the standards of enforcement. The variation in implementation within any
identified individual country or countries may be determined by one or more of the following factors:
• Implementation of Standards through the legal system
• Advice to Employers, Workers and the Public
• Uniformity of Approach - there must be an appropriate
and fair means of tackling those persons or
organisations who willfully and deliberately avoid
national legislative compliance. Also any penalties
imposed for breaches should be suitable to the offence
• Target Setting - Here Governments are relied upon to
introduce initiatives to improve the future of national
performance.
• Fostering Co-Operation between the parties involved
i.e. Employers, Worker Organisations and Government.
Enforcement
Enforcement authorities usually have a variety of powers that enable them to deal with breaches (non-
compliance) of legislation and other situations that they consider to be unsafe. These powers can result
in enforcement action(s), the extent of which depends on the gravity of the non-compliance. Enforcement
action can take several paths:
Informal – here examples would include the provision of health and safety related advice and guidance
in either verbal or written form, and
Formal – here one or a combination of the following could be used:
• Issuing of a formal caution – this may be used as evidence at a later date – this aspect tends to be
utilized for the more minor repeat offences/breaches.
• Issuing legal mandates to comply with legislation – these can take the form of improvement
notices.
• Issuing legal mandates to stop dangerous activities – these can take the form of prohibition
notices.
• Prosecution – here the intent would be to punish in some way the wrong doer.
For formal actions, an appeal can be made against one of the following three things:
• The service of a Prohibition Notice
• The contents
• The time limit given for compliance.
•
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An industrial tribunal can do one of the following three things:

• Cancel the notice
• Affirm it
• Affirm it with modifications.
Bringing an appeal does not suspend the Prohibition Notice. If the person served with the opinion wishes
to have it suspended, an application must be made to the industrial tribunal in advance of the appeal
being heard. It is an offence to contravene any requirement or prohibition imposed by an Improvement
or Prohibition Notice (including where the notice has been modified on appeal).
The Role of International Standards

The International Organisation for Standardisation (ISO)
ISO is a network/collection of the national standards institutes in many countries with the secretariat in
Geneva, Switzerland that coordinates the system. While it is a non-governmental organisation it still
occupies a particular position because many of the member institutes constitutes part of the
governmental structure of their government, and other members have their roots in the private sector. It
therefore enables a consensus to be reached on solutions that meets both the requirements of business
and the broader needs of society. Standards the ISO have issued include:
• ISO 9000 series - Quality Management Systems
• ISO 14001:2004 - Environmental Management Systems
• ISO 45001:2018 - Occupational Health and Safety Management System
One point of interest with the name of the ISO is that it would have different acronyms in different
languages so its founders decided to give a short all-purpose name.
The International Labour Organisation (ILO)

Located in Geneva, Switzerland and affiliated to the United Nations (UN), the ILO was founded in 1919 to
pursue a vision that lasting peace can only be achieved if it is based on the conventional treatment of
working people. It is a global/international body responsible for drawing up and overseeing international
labour standards on right to form association, employment, and social policy, conditions of work, social
security, industrial relations and labour administration, among others.
These international labour standards, including standards on occupational safety and health, are issued
in the form of:
• Conventions, e.g. C155: Occupational Safety and Health Convention
• Recommendations, e.g. R164: Occupational Safety and Health Recommendation
Conventions and Recommendations are used frequently as models for enacting new, or amending
existing, legislation. Conventions are open to be agreed to by UN member states, and once accepted
become binding on those countries. Those countries accepting the various Conventions are obliged to
report regularly on progress. Complaints to the ILO can be made by organisations that represent workers
and employers as well as by governments of other ratifying Member States, where non-compliance is
alleged. Conventions that have not been ratified have the status of Recommendations, for which Member
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States have no specific obligations other than to notify their existence to their legislatures and to report
on what happens as a result.
The ILO also publishes international standards such as ILO-OSH: - Guidelines on Occupational Safety and
Management Systems.
Employer’s Responsibilities
Employers have responsibilities under duty of care to protect the safety, health and welfare of their
employees and all other parties who may be impacted by their business.
• Carry out risk assessments to address all risks that might cause harm in the workplace.
• Provide training, supervision, instructions and information about the risks in the workplace, how
workers and other people are protected and how to deal with the risks.
• To consult with employees on health and safety issues. Consultation is a two way process. It must
be either direct or through a safety representative who is either elected by the workforce or
appointed by a trade union.
• Provide personal protective equipment to prevent exposure to harm.
• Select competent individual to help fulfill the health and safety duties. A skilled person is
somebody with the essential abilities, knowledge and experience to handle health and safety.
• Write and publish a health and safety policy describing how health and safety will be managed.
The policy should be communicated and be accessible to all workers and others. It should clearly
state the management’s commitment to health and safety including who does what, when and
how.
• Provide workplace facilities to all employees including people with disabilities.
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Responsibilities of Employees
• Looking after their own health and safety as well as that of
people who may be affected by their action or inaction.
• Co-operate and collaborate with others on health and safety,
and not interfere with, or misuse, anything provided for their
health, safety or welfare;
• Adhere and follow the training received when using any work
items provided by the employer
Rights of Employees
Employees at workplaces have their right to:
• Work only in places where all the hazards and risks to health and safety are adequately controlled
• Stop and refuse to work and leave the area if they think that they are in danger
• Be consulted on issues concerning to their health and safety at work
• Contact the local authority if they want to raise safety concerns, without getting into trouble
• Enroll in a trade union and be a safety representative
• Take paid time off work for training if they are a safety representative
• Have suitable and sufficient toilets, washing facilities and drinking water
• Adequate first-aid facilities
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Sources of Information on National and International Standards

Each country has a range of information relating to the health, safety and welfare standards that are
required by legislation and/or regulation e.g. ILO Natlex. This is a useful information portal that contains
legislative frameworks for over 180 countries and one that is recommended for learners to visit and
explore. In addition to this site there are governmental bodies that offer advice and guidance on National
legislation and excellent example here being the UK HSE. Then should one require information on a more
local footing then the web sites of local authorities and/or municipalities may prove useful reference
sources. This course being an international based qualification would require many pages of text to
explain to learners the legislation that may be applicable to them inside their respective state. It is
important for employers to keep themselves well informed of health and safety information because:
• The Law within their own Country may have changed
• New substances and technologies are continually being produced and the employer needs to be
aware of the possible hazards
• Information on health and safety is constantly evolving in the light of new medical information.
External Sources Internal Sources

• Governmental organisations e.g. • Risk assessments
Enforcing Authorities • Inspection reports
• Professional institutions such as IOSH • Accident/incident records
• International Standards Organisation • Medical records
(ISO) • Safety representatives
• Suppliers and manufacturers • Safety Committee reports
• Consultants and specialists • Company safety policy
• Insurance Companies • Maintenance reports
• The HSE website (UK) www.hse.gov.uk • Accident Incidence Rates
• The U.S. Department of Labor OSHA • Safety Audit reports
website (USA) www.osha.gov • Compliance data
• The ILO website www.ilo.org
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1.3 WHO DOES WHAT IN ORGANISATIONS

Directors
A typical middle to large organizations may have a director board, chief executive or managing director.
The ultimate source of authority is always held at the top management, and it achieves goals and policies
for an organization. They would be devoting more time on
planning and coordinating functions. Top Management is
responsible for fulfilling the health and safety duties of the
organization such as setting general policy, objectives and the
direction for effective health and safety management.
The Director Board should take the lead in making sure the
interaction of health and safety tasks and benefits throughout
the organization. Executive directors must establish policies to
avoid health and safety issues and must react quickly where troubles occur, or new dangers are presented;
non-executives must make confident that health and safety are actually dealt with.
Particular responsibilities expected of Directors and Senior Managers in relation to health and safety are
listed below:
• The organization’s policies are evaluated as necessary in order to guarantee continuing
compliance with existing policies, current legislation and any modifications in the law. The
organization’s policy is reflected in appropriate strategic and operational objectives, and
arrangements are in place to evaluate performance in relation to the objectives.
• The necessary resources are made available to maintain effective and efficient health and safety
arrangements, including appointing one or more competent persons to provide assistance in
meeting the organization’s health and safety obligations (including specialist help where
necessary
• Health and safety responsibilities are adequately allocated/assigned within the management
organisation structure and accepted at all levels.
• Safety leadership is given by senior management in relation to both the importance of health and
safety arrangements and their continual improvement.
• Each director will also have personal responsibilities in respect of his/her areas of responsibility
within the organization and relationship with senior managers and other workers.
• Directors shall approve, introduce and monitor all site health and safety policies, rules and
procedures and review annually the effectiveness and, if necessary, require revision of the health
and safety program.
Demonstrating Commitment – Top Management

Leadership is more reliable if noticeable- board members can reinforce health and wellness policy by being
seen on the ‘shop floor,’ setting self-example by following all precaution themselves and dealing with any
breaches instantly.
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• Consider health and wellness when deciding senior management visits.

• Having procurement requirements for products, devices and services can help prevent the intro
of high health and safety risks.
• The health and wellness arrangements of partners, crucial suppliers and contractors must be
evaluated: their efficiency might adversely impact director’s own ability.
• Establishing a separate risk management or health and safety committee as a subset of the board,
chaired by a senior executive, can make certain the key concerns are addressed and guard versus
time and effort being lost on minor threats and unneeded bureaucracy.
• Providing health and safety training to some or all of the board can promote understanding and
knowledge of the relevant concerns of the organization. Supporting worker involvement in health
and safety, above the legal duty to consult employee representatives, can improve participation
and help prove senior management commitment
Middle Managers
This level of management has responsibility for departmental and section operations. They are
responsible for ensuring that:
• Regularly monitoring and reviewing health and safety policy and programs
• Safe systems of work are implemented for all working procedures and practices are properly
documented and adhered to
• Supplying suitable work equipment, properly maintained and used at all times
• Understanding, promoting and complying with health and safety policies and procedures
• Engaging with workers in an open, honest and meaningful way to ensure they understand what
safety standards are expected to them
• Encourage feedback and communication channels with workers
• Ensure that Safety Practitioners and senior management are made aware of issues or concerns
on safety, particularly when hazards or flaws in any operational procedures are identified.
• All workers are adequately trained and competent to carry out the work assigned to them without
exposing themselves or others to risks
• Activities undertaken by all employees will not create a risk or hazard to other workers, property,
customers or visitors and the general public
• Work performed by contractors will not place employees or people at risk.
• All needed arrangements are made and kept in respect of accident reporting, first aid, fire safety
measures, and so on.
• All incidents and dangerous occurrences are completely investigated, and preventive actions are
recommended in close intermediary with the Safety Professional.
Supervisors
This is the lowest tier of management within a large organization and is the level at which specific
operational activities are controlled. Supervisors are therefore responsible for the day-to-day
implementation of health and safety policies and must ensure that:
• Established procedures and safe working practices are implemented at all times
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• All workers are provided with all necessary information and instruction to enable them to operate
safely with particular reference to hazardous substances and precautions in general
• Remedial measures are introduced to reduce or eliminate unsafe acts or conditions
• All accidents and other incidents are properly investigated and documented
Health and Safety Personnel

The term “Safety Practitioner” covers personnel with primary H&S functions such as Safety Adviser, Safety
Officer, Health and Safety Manager, Occupational Hygienist, Occupational Nurse, Occupational Doctor.
A typical misconception is that a Safety Professional is designated to handle safety, leaving other
supervisors to get on with their core obligations for finance, progress, and so on. Health and Safety are
not an optional addition for supervisors; it becomes part of their role with similar concern to other tasks.
Generally speaking, the core knowledge requirements of health and safety advisors are:
• Sufficient knowledge of health and safety management systems to enable the competent person
to set up, run and develop them further.
• Sufficient knowledge of the information requirements both internal to the organization and the
external requirements to enable the competent person to set up, run and develop the means to
record, store and retrieve such information as is necessary to achieve this
• Sufficient knowledge of current ‘best practices’ in health and safety and means of maintaining
this.
• Sufficient knowledge of people management techniques to be able to foster and develop a
positive organizational culture
• Adequate inter-personal skills to enable the competent person to obtain and exchange
information necessary to implement and maintain the aims of the corporate health and safety
policy by offering suitable advice.
• Sufficient technical knowledge of the equipment and processes involved in the organization to
enable the competent person to be able to assist in the identification of hazards, the assessment
of risks they pose and the resulting implementation and development of the necessary measures
to control them.
In addition to the above, it may be required for health and safety advisors to, on behalf of an employer,
to liaise with a range of external bodies as well as other individuals. Some of the bodies that they may
need an interface with include: Enforcing Authorities i.e. Health and Safety, Environment; Rescue Services
i.e. Civil Defence, Fire Brigade; Insurers; The Courts; The media; Suppliers: Specialist consultants, etc.
Controller of Premises
There are requirements placed on the persons in control of premises (sometimes referred to as Landlords
through their tenancy agreements) that they should generally ensure that the facilities:
• Are safe to be occupied
• Have a safe means of access (getting into) and egress (getting out of), and
• The equipment (plant) or substances that they supply/ provide are both safe for use and do not
endanger health.
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Self-Employed
The duties of the self-employed under general national legislation tends to be somewhat limited. To some
extent, this is a concern based on the increasing trend to use of contractors and sub-contractors. General
responsibilities of the self-employed under standard national legislation (this can vary from country to
country) are:
• Responsible for their own health and safety;
• Responsible for ensuring that others who may be affected are not exposed to risks to their health
and safety.
Designers, Suppliers and Manufacturers

There are many items of plant and equipment and many types of substance (chemicals) that are used for
work purposes. The designers, manufacturers, importers and suppliers of these items and substances
form the “supply chain” and they have responsibilities relating to the health and safety of their products.
For items of plant and equipment those involved in the supply chain are responsible for ensuring that they
• Are adequately designed, constructed and tested so as to be safe for their intended purpose.
• Come with appropriate instructions.
• For chemicals and substances those involved in the supply chain are responsible for ensuring that
they:
• Are appropriately tested so that their hazardous properties are understood.
• Are appropriately packaged and labelled.
• Come with appropriate information (usually in the form of a Material Safety Data Sheet (MSDS)).
Occupier of Premises: Joint Responsibilities

The requirements in this regard differ from country to country, however, an example of excellent practice
could be referenced from the UK Management of Health and Safety at Work Laws which explicitly specifies
that where 2 or more employers share an office-- whether on a short-lived or a constant basis-- each
company will:
• Co-operate with other employers;
• Take reasonable steps to coordinate between other businesses to comply with legal
requirements;
• Take reasonable measures to inform other employers where there are risks to health and safety.
All employers and self-employed people involved should satisfy themselves that the arrangements
adopted are adequate. Where a particular company manages the facilities, the other organizations should
assist to assess the shared risks and collaborate any required control procedures.
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Managing Contractors
Scale of Contractor Use
The term ‘Contractor’ applies to people who visit the premises of others to carry out work. The contractor
is the person with whom the Customer places the order. This can be for things such as catering services,
the cleaning of facilities along with the repair, maintenance, refurbishment or setup of plant and
equipment or structural modifications. Contractors can be employers, employees of self-employed
individuals or third parties. The need to use a contractor could come from the fact the client organisation
do not have the sufficient resources and/or competency to
perform that particular work, and maybe the work is non-routine
in nature and cost involved in owning and maintaining a supply
such temporary employment maybe much more than that of
using a contractor.
The other reasons for using a contractor are:

• The requirement and demand for the products and
services are unsure, and not regular in nature
• Activities are requiring more flexibility.
• Need to specialized tools and equipment for the desired
products and services, which the client company may not have.
• The legal employment obligations and financial burdens (insurances) are lower while using a
contractor.
• Avoid redundancies in employees and staffs due to the fluctuation in market demand can be
prevented by using contractors.
• Permanent employees can focus more on core business function than the non-routine activities.
The scale of use may vary depending on the nature of work. Some work could be a one-off character, and
others may require the contractor to be present for a longer time period/duration to take care of
warranties during the operation time. There are many disadvantages too, in using contractors:
• Generally, use of contractors cost more per employee, compared to using own staff.
• By using contractors, client organization is losing an opportunity to develop own employees skills
and competence.
• There is a risk of lower control over the contractor by the customer organization, especially if they
are going to use sub-contractor.
• The quality of the work output of the contractor may go uncontrolled, and it will rely entirely on
the agreed contractual conditions.
Pre-Selection and Management of Contractors
Selection
A thorough evaluation of submitted tenders can be crucial to the level of health and safety compliance on
site. This is certainly a requirement within the principles of competitive tendering, but it is also important
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that the ability of any particular contractor to fulfill their regular health and safety duties and standards is
examined. The following is an example of a list of items which could help in assessing a contractor:
• A copy of their health and safety policy.
• Examples of risk assessments.
• The qualifications and training records of staff.
• Membership of a professional organisation or certified body.
• Records of maintenance and test for plant and equipment.
• Names of previous or current clients.
• Accident history records.
• Records of enforcement action taken by authorities against them.
• Proof of adequate resources, such as access to specialist safety advice.
The evaluation can be undertaken by using a number of different methods, including sending assessment
forms to the contractor along with the invitation to tender and also by using comprehensive audit
systems.
Management of Contractors
The following measures are essential for all large contractor operations taking place within the client’s
workplace. Appointment/nomination of a person or team to coordinate all aspects of the contract,
including health and safety matters.
A pre-contract commencement meeting held with the contractor and sub-contractors to review all safety
aspects of the work. Communication arrangements develop to pass on all relevant safety information to
those doing the work. Any permitted borrowing of equipment should be formally discussed during the
meeting.
• Regular progress meetings
• Periodic inspections of the contractor’s operations by the client’s representatives
• Participation in Safety Committees on site by contractors.
• Provision by the contractor of written method statements in advance of undertaking particular
work, as agreed.
• The form of reporting to the client by the contractor of accidents and dangerous occurrences,
including those to sub-contractors.
• The client must set a good example by following all site rules.
• Provide adequate safety literature, including posters and handbooks.
• No machinery allowed on site until documentation on statutory inspections has been seen,
including details of driver training and experience.
• Monitor the contractor’s safety training program.
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Summary
This element has dealt with moral, financial and legal reasons for managing workplace health and safety.
In particular, this element has:
• Highlighted the three main reasons why an organisation has to manage health and safety, which
can be summarised as moral, social (or legal) and economic.
• Set out the basic requirements of the international standards that govern health and safety, i.e.
the ILO Convention and Recommendation.
• Looked in some detail at the duties that these two standards place on employers and on
workers.
• Discussed the consequences for employers and workers of non-compliance with legal standards.
• Noted some sources of information on national health and safety standards.
• Looked at the various parties within a workplace and the responsibilities that they have:
o The employer - for ensuring that the workplace is safe and free of health risk.
o Senior management - for setting policy, allocating resources and showing leadership.
o Middle management - for making standards happen operationally.
o Safety specialists - for giving correct advice and guidance.
o Workers - for their own safety and the safety of others.
• Looked at other parties outside the workplace and the responsibilities that they have:
o Controllers of premises - for ensuring that the premises they control are safe.
o The self-employed - for their own safety and the safety of others.
o The supply chain - for the safety of plant, equipment and substances that they supply
for use at work.
o Joint occupiers of premises - for co-operation and co-ordination.
• Considered the responsibility that a client has for the management of contractors and outlined
the steps that a client should take to choose a competent contractor and plan and monitor their
work.
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ELEMENT 2: HOW HEALTH AND SAFETY MANAGEMENT SYSTEMS WORK

AND WHAT THEY LOOK LIKE
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Learning outcomes
2.1 Outline the elements of a health and safety management system and the
benefits of having a formal/certified system.
2.2 Describe the purpose and key features of an effective health and safety
policy.
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2.1 WHAT THEY ARE AND THE BENEFITS THEY BRING

Management by definition is the process of setting policy, organising and controlling the workforce,
monitoring and reviewing the efforts and outcomes of an organisation and the use of other organisational
resources to achieve stated goals. With regard to health and safety management these goals will include:
• Complying with legislative and other requirements
• Enabling improved management of health and safety risks
• Providing cost effective risk controls and a competitive edge
• Providing synergy with good business management.
Therefore, one can say that safety management system is a tool that will enable organisations to meet
the above management goals. Most health and safety management systems listed below are based
around the principle of PLAN, DO, CHECK, ACT:
• ILO-OSH 2001: Occupational Health and Safety (OSH) Management Systems Guidelines
• ISO45001:2018: Occupational Health and Safety Management Systems
• HSG 65 Successful Health and Safety Management
ILO (OSH) 2001: Occupational Health and Safety Management System
ILO has developed voluntary guidelines on OHS management systems for Organisations to implement
occupational safety and health (OSH) management systems. It provides a logical framework upon which
to establish and run an OSH programme that tracks all the elements requiring action and monitoring. ILO-
OSH 2001 Guidelines on OHS Management System is not legally binding and not intended to replace
national laws, regulations and accepted standards.
The ILO Guidelines on OSH Management Systems contain the main elements of:
• Policy
• Organising
• Planning and implementation
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• Evaluation
• Actions for improvement
Policy (PLAN)
The policy is the basis of the OSH management system. It sets out:
• The health and safety aims and objectives
of the organisation,
• Management commitment.
• The elements of OHS policy and worker
participation.
The employer should produce a safety policy, if
possible in consultation with the workforce.
Organising (PLAN)
Organisation contains the elements of
responsibility and accountability, competence and
training, documentation and communication. It
requires management structure to be in place and
the important responsibilities allocated for
delivering the OSH policy. Organising contributes to
the creation of a positive culture.
Planning and Implementation (DO)

Planning and Implementation involves the identification of hazards, assessment of risks, and deciding how
risks can be eliminated or controlled. It should set standards against which performance can be measured.
The organisation’s existing OSH management system and appropriate arrangements must be assessed by
an initial evaluation, as suitable. If there were no OSH management system exists, or if the organisation
is recently developed, the initial assessment must work as a basis for establishing an OSH management
system. The results of the initial review shall:
• Be documented
• Form the basis for making decisions regarding the implementation of the OSH management
system
• Provide a baseline from which continual improvement of the organisation’s OSH management
system can be measured.
Planning for health and safety requires organisations to:

• Set health and safety targets
• Identify hazards, assess risks, and decide how risks can be eliminated or controlled
• Set standards against which measurement of performance can be carried out.
• Comply with the health and safety laws
• Design the tasks, processes, products, services, safe systems of work and all equipment’s
associated with it to reduce risk.
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• Develop a purchase and supply policy, which takes health and safety into account
• Co-operate with contractors
• Develop emergency procedures.
Evaluation (CHECK)
Evaluation element contains the mechanisms for performance monitoring and measurement,
investigation of work-related injuries, ill-health, diseases and incidents, audit and management review
and should be both reactive and proactive. It is a means of determining the extent to which health and
safety policy and objectives are being implemented. Analysing data gathered through monitoring is a
means to check if safety performance is adequate
Auditing (CHECK)
An audit is a systematic and critical examination of each stage of an organisation’s management systems
and procedures in order to establish whether or not systems exist, and if so they are adequate and are
used. Organisations should maintain and improve their health and safety performance by learning from
experience through the use of audits and performance review. If the results of the audits identify that
the control of hazards and risks is inadequate the control measures should be modified accordingly and
within a timescale.
Actions for Improvement (ACT)

Action for improvement includes the elements of preventive and corrective action and continual
improvement. It likewise stresses the requirement for continuous improvement of OSH performance
through the ongoing development of techniques, systems and policies to prevent and control work-
related injuries, illness, diseases and incidents.
ISO 45001:2018: Occupational Health and Safety Management System

ISO 45001 is the new international standard for occupational health and safety (OH&S) that can be applied
to all types of organisation. The adoption of an OH&S management system intends to enable an
organization to provide safe and healthy workplaces, prevent work-related injury and ill health,
and continually improve its OH&S performance.
OH&S Policy and Commitment

Organizations must commit to fulfill legal and other requirements; the policy must be relevant,
appropriate and retained as documented information. More emphasis has been placed on the
accountability of leaders to ensure consultation and participation with workers to protect, improve
performance, and support the OH&S system and its integration into other business processes. Information
on roles, responsibilities and authorities must be documented. Accountability is retained by top
management and cannot be delegated.
Planning
The organization will establish and maintain arrangements for the ongoing identification of hazards, the
evaluation of risks, and the implementation of necessary control procedures. Risks and opportunities
become inputs to a comprehensive planning approach. Objectives must support the policy requirements
and must be considered in line with the strategic direction and context of the organization.
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Implementation
The functions, responsibilities and authorities of personnel who manage, carry out and validate activities
having a result on the OH&S risks of the organization’s activities, processes and facilities, will be specified,
documented and communicated in order to assist in OH&S management.
Checking & corrective action

An organization should check, review, inspect and observe its planned activities to ensure they are
occurring as intended. An organization must make sure they have determined the appropriate processes,
so they can evaluate how well they are performing based on risk and opportunities. Monitoring generally
indicates processes that can check whether something is occurring as intended or planned.
Management review
The aim of the review is for top management to assess the performance of the management system to
ensure it has been effective and suitable for the needs of the business, ultimately preventing injury or
harm to workers. The management review is also a planned activity to review objectives including
compliance and to set new objectives.
Continual improvement
The management system should be reviewed on a regular basis to ensure its continued suitability and
effectiveness for the organisation to deliver its commitment as well as continual improvements.
The benefits of having a formal/certified health and safety management system i.e., cost v
return
ISO 45001 puts the organisation on a level of excellence shared by organisations worldwide satisfying the
demands of current or prospective customers to the organisation. Increased acceptance by regulators,
the public and interested parties, ISO 45001 is been accepted as proactive measure for Health and Safety
and continual improvement. It has a great impact on business performance. A well designed and well
implemented ISO 45001 health/safety management system reduces workplace illness, injury and
increased productivity. It also helps in attracting lower insurance premiums and proves due diligence to
the marketplace by improving the safety of all persons affected by the company’s activities. The benefits
of Implementing ISO are endless and when implemented correctly it provides the company with an
effective tool that will show a return on investment.
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2.2 WHAT GOOD HEALTH AND SAFETY MANAGEMENT SYSTEMS LOOK

LIKE
Purpose of a Health and Safety Policy
Every organisation must have a clear policy for the management of health and safety so that everybody
related to the organisation understands its health and wellness objectives and targets. A health and safety
policy will likewise improve the performance of the organisation in areas aside from health and safety, aid
with the personal advancement of the workforce and decrease financial losses. The reasons for having a
safety policy could be:
Legal Reasons: This duty of care requires the employer announce
a written statement of their health and safety policy; to provide
organisation and all necessary arrangements for implementing the
policy, and to communicate the statement and any revision of it to
their employees.
Managerial Reason: The reasoning behind the duty to have a
written statement of health and safety is a simple one. If the
organisation has to document what it is trying to achieve, in any area
of its activities, it is much more likely to do something about it. So
with health and safety, making that commitment is the starting point
for a positive attitude towards protecting not only staff, but anyone
else who may be affected by their work.
The Needs of Different Organisations

In the case the company has a number of various activities or where the operations are geographically
widespread; the policy may require formulation on more than one level. The highest management level
should put in writing the central policy principles, while the branches or operational units interpret the
policy in a realistic written form to suit the identified local needs.
There is no standard policy to suit all types of Organisations. A large Organisation may require a far more
complex policy than a small company employing a limited number of employees. The policy should
influence all activities of the organisation and outline systems that managers may need to fulfill their
health and safety responsibilities.
The Contents of a Health and Safety Policy with Reference to ISO 45001:2018
The main elements of the safety policy are broadly:
1. General statement of intent with respect to health and safety of their employees.
2. Organisation of roles, responsibilities and accountabilities throughout the organisation.
3. The provisions and arrangements to achieve the policy aims and objectives.
To expand on these three principles, the health and safety policy should contain:
• A general statement of commitment signed and dated by the senior member of the management.
• Defining and allocating roles and responsibilities, as well as accountabilities to all levels of
management up to the line management.
• A collection of the organisation’s own rules and regulations to ensure health and safety at work,
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• Details of the significant findings of risk assessments,

and the arrangements in force to control risks to
employees, visitors, contractors, etc. 5. The date the
policy was last revised.
General Statement of Intent

The statement of general policy should contain management
aims and objectives for creating and maintaining a safe
workplace. There are no known ‘legal’ requirements for
specific contents. However, the statement of general policy
should fit the needs and objectives of the business. It can be
broad and general or quite narrow and specific; there are
good reasons for both approaches. A wide-ranging statement will bring into its scope many areas of the
business of the organisation. However it is likely to be quite vague and ill-defined and feel rather isolated
and unrelated to the people who will be working by it.
On the other hand a narrow, definite statement will have the advantage that the users are able to connect
to it initially, which will encourage its acceptance. However as the organisation moves on, the more
accurate statement may well start to lose its value and will rapidly become useless unless it is revised very
regularly. It should be produced at the highest level of responsibility within the company, clearly indicating
the commitment of the most senior management to the principle of ensuring and maintaining safety and
health at work.
Signatory to Statement of Intent

Senior most people in the organisation should sign the statement e.g. the Managing Director, Chief
Executive etc. because this:
• Shows management commitment
• Gives the policy authority
• Demonstrates the person who signs has ultimate responsibility for health and safety
Organisation Aims and Objectives for Health and Safety

As said above, the policy or very identifiable parts of it are the base for actions whereby identified Aims,
Objectives and Targets can be achieved. These objectives are more readily acceptable within all ranks of
the organisation if they are qualified in terms of an annual achievement plan in the terms of objectives.
Any interim shortfalls in the major performance indicators being properly documented and discussed so
that lessons may be learned and further objectives set to regain health and safety performance on track,
if that is indeed possible. A safety policy therefore should be able to broadly identify these objectives and
targets, and endorsed by the senior most person who signs the statement of intent. Before we move on
in this topic it is necessary to determine what the key terms mean here.
• GOALS: an aim or purpose
• OBJECTIVES: something you plan to do or achieve
• TARGETS: specify specific performance requirements
The importance to an organisation for setting targets is to give evidence of management commitment
and motivates staff by giving them something tangible to aim for. A correctly set target allocates a detailed
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performance requirement and should be considered as a route or marker to be achieved on the way to
meeting an objective. Management techniques of today call for targets that are ‘SMART’, and when the
letters have meanings assigned to them a SMART target is one that normally has full buy in as they are:
• Specific
• Measurable
• Achievable
• Realistic
• Time bound
Concept of Benchmarking
Is a system whereby an organisation may compare its safety performance with others in the same type of
business, with other units of the same firm or even nationally declared figures. Many countries now report
the health and safety performance of industries within their own country and compare these to those
reported by other countries or for example by the ILO on a more global scale. It is fair to say that by using
a benchmarking system for its health and safety performance, an organisation can more efficiently
determine its strengths and weaknesses and thus have the ability to act on the lessons that is experienced
with a view of making continual improvements in performance.
The benchmarking system, with all of its benefits, does have a range of potential challenges; these include
but are not limited to:
• Using standard terminology or definitions i.e. falls from height
• Making sure that the benchmarking data used as a comparison is accurate and reliable
• Using benchmark companies that have similar work activities but not necessarily a direct
competitor, etc.
Setting Objectives
When setting health and safety objectives, consideration should be given to:
• Who is going to set objectives – the involvement of senior management perhaps with guidance
from health and safety practitioners/advisers?
• How objectives will be set at each functional level - Objectives need to be set at different
levels or within different parts of the organisation to achieve organisational goals. This can be
achieved by setting and agreeing personal targets with individuals through the job appraisal and
review process.
• Legal and other requirements – objectives must recognise legal standards and other
requirements set by, for example, corporate policy, insurance companies, etc.
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• Hazards and risks – the hazards inherent in the workplace and the risks created must be taken
into account when setting objectives. If this is not done then the organisation may pursue
objectives that are irrelevant or that address only trivial matters.
• Technological options – as technology changes, organisations should take advantage of that
new technology and set objectives accordingly.
• Financial, operational, and business requirements – health and safety objectives should
integrate with financial, operational and business objectives so that there is no conflict of goals.
• Views of interested parties – for objectives to be achievable it is important that some element
of consultation occurs and that the views of interested parties are considered. Employees
(through their representatives), supervisors, managers, contractors, clients, customers, landlords,
co-occupiers, suppliers, manufacturers and designers may all be able to contribute to the health
and safety objectives of an organisation.
Organising for Health and Safety

This part of the health and safety policy is the means by which everyone in the business is made aware of
the things they are expected to do to help achieve a safe workplace - i.e. it sets out their responsibilities.
There is no legally prescribed method for stating the management responsibilities that make up an
employer’s organisation for health and safety, but it must be relevant to the business.
It is critical to the success of the policy that people are only given responsibilities for matters over which
they have control, for example those given responsibility for finance or employee training programmes
must have the monitoring of that function. This section of the policy enables people to see what they
need to do, but also indicates the appropriate reporting lines - i.e. the most useful person to report
something to, or ensure that action on a safety management shortfall is dealt with.
Accountability
Management accountability starts at the top, from the person identified in the policy as having control of
the business (it could be two or more people, if they are partners or co-owners). Each level of
management is accountable for health and safety performance to the one above
Delegation of Responsibility
The chairman of a large company could not be expected to prevent a shock to an employee from an
electrically untested kettle, but they should have delegated the responsibility for ensuring checks were
carried out. If they had not assured that their managers were given the responsibility and resources to
have the equipment checked, then, the person in immediate control of the situation, as well as the
Chairman could also be held accountable. Performance of duties can be delegated but legal responsibility
cannot be transferred, even by putting into the policy a phrase like ‘the supervisor will be solely
responsible for all health and safety in their section’, since only a court can ultimately decide who is legally
liable in the circumstances.
Managerial Responsibilities
In a business with several levels of management it is not possible for the person at the top to control all
business functions (including health and safety) on a daily basis and it is necessary to delegate duties. For
example, the list of responsibilities related to the company structure given in the personal responsibility
section might start as follows:
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The chairman of the board is ultimately legally responsible for all safety matters within the company’s
sphere of operations. They will:
• Make sure the objectives of the policy are fully understood by all board members
• Assign adequate resources (funds, materials, equipment, staff and time) as required to manage
health and safety
• Need other members of the board to provide regular information on the health and safety
performance of the parts of the business under their
control
• Sign the policy and give it public support
This assignment of responsibilities will continue through the rest

of the organisation. If there are several people at one level, say
department supervisors, they may have broadly the same
health and safety responsibilities, but with additional duties
specific to their job. An organisational structure which identifies
responsibilities with posts, rather than people, allows for changes in personnel without needing a revision
of the policy. It means that:
• Comprehensive safety responsibilities can be given in the job description, along with the other
responsibilities of the post
• A new post-holder automatically acquires the same safety responsibilities
• Complying with the job description can then be a condition in the contract of employment
• Changes in the job description will not need a new contract of employment
Health and Safety Arrangements

The Arrangements section is often the largest section of the policy. It deals with the general arrangements
that exist to manage health and safety and the specific arrangements that are necessary to deal with
particular risks relevant to the organisation and its activities. The systems and procedures used to manage
health and safety are contained in this section. All the general health and safety management issues will
be relevant to all workplaces; they are generic issues. However, the practical arrangements made for the
management of these issues will have to be tailored to suit the organisation.
General health and safety management arrangements:

• Carrying out risk assessments.
• Identifying and supplying health and safety information, instruction and training.
• Accident and near-miss reporting, recording and investigation.
• Consultation with workers on health and safety matters.
• Developing safe systems of work and permit-to work systems to control hazards.
• Welfare and first-aid provision.
• Housekeeping.
• Fire safety and prevention.
• Emergency procedures.
• Communication of health and safety matters, including hazards and control measures.
• Compliance monitoring, including auditing of systems but also measuring workplace parameters,
e.g. noise, to assess the effectiveness of the arrangements.
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Depending on the workplace, specific health and safety arrangements will also have to be developed to
deal with particular risks. The list of possible arrangements that might be required can be long and
depends on the problems and issues faced by the organisation in question. For example, a lorry haulage
company will have a set of arrangements to manage transport risk, but an office-based company will not.
Examples of specific risks and problems within an organisation that may need detailed arrangements
include:
• Lone working.
• Noise-exposure control.
• Vibration-exposure control.
• Control of exposure to toxic materials.
• Control of crowds.
• Control of transport risks.
• Waste disposal.
Not all organisations will have all of these risks - these are “specific” to the organisation and its function.
Control of exposure may require health surveillance and PPE, the use and maintenance of which should
be covered in the arrangements.
Review of Health and Safety Policy

Health and safety policy should not be considered as rigid and unchanging. Instead, it should be subject
to regular review so that it remains current and relevant. In this way it can be kept a “live” document.
It is good practice to review policy on a regular basis, e.g. annually. However, there are other
circumstances which could give rise to reviews.
The aim of the review is to make sure that the policy is up to date and accurate. The date of the previous
review should be recorded on policy documents to indicate how current they are. Revisions are required
for significant changes in organisation or arrangements, such as:
• The formation of a new department, for example, an export department when international
business increases.
• Introducing a new process, such as a solvent-based component cleaning operation.
• Take-overs or mergers.
• Responsibilities changes in the organisation.
• Shutting down or selling part of the business.
• Change of premises.
• Legal changes, such as the introduction of new legislation applicable to the organisation.
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A convenient period for reconsideration is every 12 months, along with an analysis of other indicators of
business performance, as is widespread business practice. An analysis may be sufficient and no revisions
needed, if there have not been any significant changes in personnel, business operation or relevant laws,
statutory guidance or recognised standards. In order to carry out a review, the senior manager, or
nominated ‘competent person’, will need to get feedback from all of those managing safety. If there is an
established (or inherited) efficient communication system, this should already be in progress by the
completion of the first year of the policy’s operation. The dated signature of a senior person makes it clear
that the operation and effectiveness of the policy have been reconsidered, so it should be signed after
each review, whether or not there has been any necessity for revision.
Standards and Guidance on Health and Safety Policy

There are several recognised standards and guidelines available that require organisations to have a
policy. Examples are the ILO-OHS 2001 and ISO 45001:2018 Guidelines on occupational safety and health
management systems. They both provide clear guidance to organisations seeking to implement an OHS
management system, which includes advice to help comply with the requirements of policy setting.
Management Systems
OHS management system standards, in addition to national law and standard’s, should be taken in
account when employers consider their organisation’s health and safety policies. It can be ascertained
from the following that OSH management systems stipulate broadly similar demands.
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ILO-OSH 2001 – Guidelines on OHS Management System

The employer, in consultation with workers and their representatives, should set out in writing an OSH
policy, which should be:
• Accurate and relevant to the type of organisation and appropriate to its size and the nature of its
activities;
• Concise, clearly written, dated and made effectual by the signature or endorsement of the
employer, or the most senior accountable person in the system;
• Communicated and readily accessible to all persons at their place of employment;
• Regularly reviewed to ensure its suitably continually;
• Made available and accessible to all external stake holders and interested parties, as appropriate.
The OSH policy should include, as a minimum, the following fundamental principles and objectives to
which the organisation stays committed:
• To everyone in the organisation by having means to prevent injuries, illnesses and incidents in the
workplace.
• All applicable OSH national laws and regulations, voluntary programmes, collective agreements
on OSH and other requirements, shall be complied to;
• Making sure that employees and their representatives are consulted and promoted to take part
actively in all components of the OSH management system; and
• Continually improving the operation of the OSH management system.
ISO 45001:2018
Top management shall establish, implement and maintain an OH&S policy that:
• Includes a commitment to provide safe and healthy working conditions for the prevention of
work-related injury and ill health and is appropriate to the purpose, size and context of the
organization and to the specific nature of its OH&S risks and OH&S opportunities;
• Provides a framework for setting the OH&S objectives;
• Includes a commitment to fulfil legal requirements and other requirements;
• Includes a commitment to eliminate hazards and reduce OH&S risks;
• Includes a commitment to continual improvement of the OH&S management system;
• Includes a commitment to consultation and participation of workers, and, where they exist,
workers’ representatives
The OH&S policy shall be:
• Available as documented information;

• Communicated within the organization;
• Available to interested parties, as appropriate;
• Relevant and appropriate.
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Summary
This element has dealt with the health and safety management systems and policy. In particular, this
element has:
• Overviewed the ILO-OSH 2001 health and safety management system, which can be summarised
as: Policy, Organising, Planning and Implementation, Evaluation, Action for Improvement, and
Audit.
• Outlined the ISO 45001:2018 SMS - Policy, Planning, Implementation, Checking and corrective
action. Management review, continual improvement.
• Identified the health and safety policy of an organisation as an important document, which sets
out what the organisation’s aims are with regard to health and safety, who is responsible for
achieving those aims, and how those aims are to be achieved.
• Explained that the policy is usually presented in three parts: the General Statement of Intent, the
Organisation section, and the Arrangements section:
o The General Statement of Intent communicates the importance that the organisation
places on health and safety, the commitment that can be expected and the aims and
objectives for the organisation to achieve. It is signed by the person in overall control of
the organisation.
o The Organisation section deals with the roles and responsibilities that exist within all
levels of the organisation and indicates the lines of responsibility and accountability.
o The Arrangements section provides the detail on how the organisation manages health
and safety. It outlines the general arrangements that relate to health and safety
management and the specific arrangements that relate to individual health and safety
topics and issues.
• Noted that health and safety policies have to be reviewed in order to stay current and relevant,
and that reviews might be carried out periodically, or in response to changes, such as those to key
personnel or management structure.
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ELEMENT 3: MANAGING RISK – UNDERSTANDING PEOPLE AND

PROCESSES
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Learning outcomes
3.1 Describe the concept of health and safety culture and its significance in the
management of health and safety in an organisation.
3.2 Outline how health and safety culture at work can be improved.
3.3 Outline the human factors which positively or negatively influence

behaviour at work in a way that can affect health and safety.
3.4 Explain the principles of the 5-steps to risk assessment and the general
hierarchy of control.
3.5 Outline the control measures associated with the management of change in
the workplace.
3.6 Describe what should be considered when developing and implementing a

safe system of work for general activities.
3.7 Explain the role and function of a permit-to-work system.
3.8 Outline the need for emergency procedures and the arrangements for
contacting emergency services; requirements for, and effective provision of,
first aid in the workplace.
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3.1 HEALTH AND SAFETY CULTURE

Meaning of the Term ‘Health and Safety Culture’
All organisations have a ‘culture’, which is not written down or even easily stated. It is a subtle mix of
formal and informal rules, relationships, values, customs, etc. which,
taken together, describe the distinctive ‘feel’ of the organisation. On
one level, this is to do with how the organisation gets things done - its
particular way of doing things. On another level, it is to do with how
people perceive the organisation, e.g. how friendly it is.
Organisational culture is a characteristic of the organisation that exists

at every level, from senior management to shop-floor workers. No one
person determines the culture of the organisation; all staff working
for the organisation determines it collectively.
Organisations can be described as having a ‘health and safety culture’
(or safety culture) in much the same way.
Safety culture can be defined as the shared attitudes, values, beliefs

and behaviours relating to health and safety. It is the result of the shared attitudes, beliefs, competencies,
perceptions and patterns of behaviour in the organisation. This determines the management’s
commitment to, and style of, health and safety management. The safety culture of an organisation is the
way that everyone within the organisation thinks and feels about health and safety and how this translates
into their behaviour.
Health and Safety Culture and Performance

The safety culture of an organization will significantly affect how the workers perceive the safety systems
and how they comply with them. In a group with a poor safety culture, the safety systems are likely to be
discounted as impracticable by the workforce whether they are or not and the losses caused by non-
compliance with them are likely to be a highly significant burden on the organization.
The means of improving a safety culture is best approached by ensuring that the resultant positive safety
culture will have a significant effect on the success of the risk management system in an organization. The
performance of an organization and in turn its safety culture, whether looked at in terms of safety alone
or more widely in terms of its business measures, is affected by a number of issues. Probably one of the
most important aspects is the effectiveness of the management processes within the organization.
However, even the best management processes can be defeated by the way in which people approach
and undertake their daily tasks. A safety management system that has addressed all the risks by creating
procedures and safe systems of work is little more than wasted effort if they are not carried out and
complied with. Consequently, human factors are the key to the efficient operation of an organization,
and addressing the issues that affect human factors is most likely to gain high return for the effort
expended on it.
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Features of a Positive Safety Culture
The following are characteristics of organizations with good health and safety performances:
• Active and visible management commitment towards health and safety in the workplace
• The requirements of production and health and safety correctly balanced with pressure for
production managed versus that for health and wellness
• Adequate resources devoted to health and wellness
• Maximum collaboration between management and the workforce based upon a participative
relationship in between personnel at all levels
• Democratic and humane style of the directorate
• Visibility of top/senior management on the shop floor
• The regular and formal interaction between all functional levels
• Quality training is given to management and the workforce
• High levels of job satisfaction
• Ergonomic plant style and designs
• Workforce picked for their safety mindsets and behaviors
Many of these features are included in the term ‘safety culture’. Significant improvements in health and
safety are likely to be there if organizations have positive health and safety cultures which promote
employee involvement and commitment at all levels of the organization.
Safety Culture Indicators

The indicators of Safety culture in any organizations could be tangible ones and the intangible ones (the
ones which could be seen through the eyes of the employees, as for how they feel and view the
organization’s culture). Some of the visible indicators are:
• Accidents
• Absenteeism in terms of sickness rates
• Staff turnover
• Levels of compliance with health and safety related requirements
• Complaints regarding working conditions
Frequent indicators of the human factor problems caused by deficiencies in aspects of the organization
include:
• Poor compliance with safety rules and procedures
• Human errors identified as the cause of many accidents and incidents
• High rates of absenteeism or sickness
• Elevated levels of mental or physical ill-health
• High degrees of staff turnover
• Significant reports of dissatisfaction among the workforce and employees
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Influence of Peers
Most people have a strong desire to ‘fit in’ with their workmates. This often results in a high need to be
seen to adopt the same working methods, whether right or wrong and be seen to have similar attitudes.;
Workmates can, therefore ‘pressure’ an individual to conform to their standards.
The term ‘peer pressure’ is often used and this usually has a strong influence on the behavior of an
individual. The pressure of peers could be positive or negative. In a good safety climate, the workforce
will have a strong desire to be seen to follow the correct method of working. Anybody who fails to meet
their standards will be letting the side down and will receive ‘pressure’ to conform to their high safety
standards. New recruits will usually be trained in the approved methods of working. Once they return to
their job groups, this training can be ineffective if they see their workmates performing a task in a different
way. The new recruit may consider their way to be just as good otherwise ‘they wouldn’t be doing it’ or
may take into account it riskier. Despite this, the new recruit is almost sure to ‘fall in’ and work to that
method in order to conform to the peer group practice.
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3.2 IMPROVING HEALTH AND SAFETY CULTURE

Management Commitment
Management commitment starts at the very top of the
organisation. Senior managers must provide the leadership
necessary to inspire and motivate managers at all levels to
pursue health and safety objectives rigorously. This is done
by establishing the organisation’s safety policy with clear
priorities and targets to be achieved.
It is also critical that middle and junior management follow
through the commitment of senior management via the
priorities and objectives that they set their staff. In this way
commitment is cascaded down through the organisation.
An important factor in demonstrating management
commitment is visible leadership. If management are never
seen taking an active interest in safety issues, then there will be an assumption that they are not
interested.
Individual managers must show their commitment to health and safety to their staff as this creates the
local safety culture.
Visible commitment can be demonstrated by:

• Behaving safely (leading by example).
• Involvement in the day-to-day management of health and safety, e.g. by attending safety
meetings.
• Taking part in safety tours or audits.
• Promoting changes to improve health and safety.
• Enforcing the company safety rules.
Competence
The definition of competence includes the qualities that the
person needs to adequately fulfill the tasks required of them as Knowledge
part of the function in which they are competent. This is a very
practical and a definition give three aspects to competence: Competence
• The knowledge of the subject
• The experience to apply that knowledge correctly Competence
• The personal qualities to undertake their functions
actually Skill Attitude
Whatever the job that person is expected to take, their health
and safety which of those affected by their work can just be
considered actually beneficial in regards to health and safety, if
they are qualified to undertake them. Skills is a relative step, and an assessment of the needs of the job is
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required to allow the level of proficiency suitable to the task to be figured out, then the requirement of
competence of the person satisfying that function can be evaluated.
When considering whether a person is competent, the following factors may be considered:
• Evidence of qualifications
• Level of training
• Membership of professional body
• Undertaking written or practical assessments
• References or recommendations
Effective Communication
Lots of problems in health and safety arise due to bad communication. It is not just an issue in between
management and workforce it is typically an issue the other way or undoubtedly at the exact same level
within an organization. It develops from obscurities or, even, unexpected distortion of a message.
Considering that the function of communication is the handing down and sometimes getting back of ideas
or truths as info, it is crucial to ensure that this flow is attained efficiently and more. Thus it is necessary
to control the potential barriers to communication posed by personality, distortion, and lack of attention.
The Function of Communication

The primary purpose of communication is either to inform or to exchange information i.e. consultation. It
is probably worth noting the difference in the type of communication involved between ‘information’ and
‘consultation’ since they are both required in health and safety
management. Informing is the provision of data (or information) to a
person or group of individuals to make them aware of something.
Informing is a one-way process; in using it, the intention is not to seek
feedback or comment. On the other hand, consultation is a two-way
process aimed at providing data or information and seeking feedback.
Aspects affecting communication

Communication is about achieving a shared awareness of information,
either in one direction or two. The three most important aspects affecting
the communication process are:
• Personality,
• Distortions and
• Attention
Personality
On the part of the provider or receiver of information, or both can present a considerable barrier to
reliable communication. If there is an absence of trust in between them of information, it is most likely
that the receiver will not accept exactly what is being said either in terms of thinking the material or
believing the motives of the other person. The mindset of either party to an interaction can significantly
impact the quality of the communication process and in severe scenarios can actually avoid any contact
at all.
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Distortions
The leading causes of distortions in communication include:
• Inappropriate environment – e.g. noise,
• Restrictions due to the use of personal protective equipment (PPE),
• Sensory impairment - e.g. hearing impairment,
• Ambiguity in the meaning - most often as a result of the use of words with particular meanings
that are not understood to mean the same thing by both parties,
• Linguistic problems,
• Inappropriate communication path - for example attempting to describe something ‘visually’ on
a voice only channel,
• Lack of communication skills - characterized by one or more of the above causes,
• Inability to understand the main contents of the message.
Attention
To ensure the proper and efficient passage of information, it is necessary for both parties to be
concentrating on the attempt to communicate. The main causes of lack of attention in communication
include:
• Boredom - lack of perception of the importance of the message
• Distraction - possibly through concentrating on personal issues
• Deliberate Actions - intentionally not attending to the information being provided, perhaps to
make a point or through dislike or mistrust
• Complex Information - such as the subject being too involved and novel (new) to the recipient
with no opportunity for clarification
• Inappropriate Timing - the information is provided at an inopportune time, or there is insufficient
time allocated to the person receiving it.
Forms of Communication
Different types of communications are more useful in different situations; however, some are more
common than others. When discussing them, it is helpful to classify them in some way. One way, which
will be used here, is to classify them by the sensory pathway (visual, auditory and so on) that is used to
receive the message. One exception to this is made in the case of non-verbal communication gestures and
body language since, although this is usually through the visual pathway, is sufficiently important to be
considered separately.
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Written Communication
It can be in the form of letters, memos, reports, course handouts, notices, procedures, safety policy,
forms, rules, and books.
Advantages Disadvantages
• Permanent record • May not be read
• Reference • One way
• Consistent message • Often no feedback
• Accurate detail • Time consuming
• Broad audience • Cost
• Authoritative • Misinterpretation
Verbal Communication
This can take different forms such as instructions, interviews, meetings, lectures, briefings, informal talks,
etc.
• Direct • No record
• Two-way • No reference
• Quick • Unstructured
• Instant feedback • Inconsistent message
• Easy to do • Too much for memory
• Flexible • Limited audience
Visual (Graphic) Communication

They can be in many forms such as video, computer, posters, and visual aids.
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• Consistent message • Boring
• Large groups • No feedback
• Interesting & stimulating • Too much for memory
Non-Verbal Communication
Non-verbal communication, such as gesture and body posture, can be a significant addition to or
detraction from other media. In particular circumstances, non-verbal communication can be the sole
means of communication, such as hand signals or the unspoken comment or warning that can be
conveyed by such movements as a raised eyebrow. Body language can significantly assist or distort the
meaning of other forms of communication.
Touch, Taste, and Smell

Touch, taste, and smell are all valid forms of communication that can be effective but are not often used.
Examples of these types include:
• The tactile warnings on hazardous substance containers
• The introduction of bitter-tasting agents into dangerous substances to deter inadvertent
ingestion, particularly by children
• The introduction of a potent malodorous chemical into odorless natural gas to enable leaks to be
detected
Means of Providing Information

The principal ways of providing information are as follows:
• Verbal and audio information provision,
• Signs and notices,
• Posters,
• Notice boards,
• Electronic displays,
• Computer-based information provision,
• Newsletters and publications, and
• Static displays
With respect to the visual means of information provision, it is important that they are varied on a regular
basis. If they are not, the information will soon be ignored as it will become part of the ‘decoration’ of the
area and no longer be noticed.
Notice boards should be kept tidy and free from information not related to health and safety, such as
social events or general announcements. The types of Information that could be posted on notice boards
include
• Health and safety policy
• Evacuation procedures
• First aid arrangements
• Contact details for safety representatives
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• Targets set for reduction of accidents

• Safety campaigns
To maximize the effectiveness of notice boards within the workplace the employer should:
• Locate in common/prominent area
• Dedicate boards for health and safety matters
• Display relevant and current information
• Keep information in a neat and orderly state
• Make boards eye-catching by use of color and graphics
Static displays can be handy to use for the provision of information. They can provide a distinct focal
point, as long as they do not cause an unwanted obstruction. They can be used to display purely text and
pictorial information, but can also be used to demonstrate items of equipment, for example, a range of
personal protective equipment or equipment or techniques that form part of a safe system of work,
particularly if it is a new method. However, if the display is not allowed to outstay its welcome, it can be
a significant part of the information provided for an organization.
Tool Box Talks

A similar means to lectures of training a large group, but in a more ‘practical’ setting, is to use tool box
talks. (The name comes from a historical practice of standing on a tool box (like a ‘soap box’) as a small
platform to give the talk.) These can take a number of real forms. The most common way of undertaking
them is to have a short presentation to a group of workers at their regular place of work. The advantage
is that it is much easier to arrange since there is no need to gather the employees together as they are
already there. The significant disadvantages arise from the same factor that makes it an advantage - the
location. The fact that it is in the work area means that it is quite intrusive and can stop all work in a field
while it is occurring.
Written Communication
Written communication takes many forms from the simple memo to the detailed report.
• Memorandum - A memorandum needs to consist of one simple message and be drawn up in
uncomplicated and certain language. The title should adequately describe the contents of the
memorandum.
• E-Mail - Over the last few years, emails have actually mostly replaced memos since it has become
a much quicker method to guarantee that the message gets to all concerned. The benefit of
memos and e-mails is that there is a record of the message after it has actually been delivered.
• Reports - Reports are more substantial files and cover a topic in higher information.
• Notice boards - The most typical method which composed interaction is used in the workplace is
the notice board.
• Employee Handbooks, and so on - There are lots of other examples of written communications in
health and safety, such as employee handbooks, company codes of practice, minutes of safety
committee meetings and health and safety treatments.
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• Graphical Interaction - Graphic communication is communication by the usage of videos, drawings

or photographs.
Cooperation and Consultation with Employees

The importance of communication and consultation between the employer(s) and staff regarding health
and safety issues is essential if a positive health and safety culture is to be maintained. The ILO makes this
point in its Convention 155 – where they state “communication and cooperation at the working group
levels and the endeavor and at all other appropriate levels up to and consisting of the national level.”
Health and Safety Representatives

Article 8 of ILO Convention 155 states: “Each Member shall, by laws or regulations or other method
consistent with nationwide conditions and practice and in consultation with the representative companies
of businesses and employees concerned, take such actions as might be need”.
Functions of the Safety Representative

• To investigate situations that might increase the risks to health and safety in the workplace.
• To look into grievances raised by any employee in the group represented
• To report and go over with the company any problems that emerges from the investigations
• To perform general assessments of the workplace
• To examine and take copies of any document associating with health, safety or well-being which
is pertinent
• To act on behalf of the employees represented in consultations with an inspector or officer from
an enforcing firm
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• To attend meetings of the safety committee as a safety/ employee/ workplace representative.
Rights of Health and Safety Representatives

The ILO in its Convention 155 makes specific requirements that relate to Health and Safety
Representatives, these include:
• The protection of employees and their representatives from disciplinary treatments as an
outcome of actions correctly undertaken by them to conform to the policy requirements.
• Employees and their representatives in the endeavor are provided correct training in occupational
safety and health;
• Occupational safety and health procedures shall not include any expenditure for the workers.
Health and Safety Committees

The composition of the committee is not laid down and is decided by the employer. It is usual for it to
comprise of representatives from the workforce and representatives from management that is directly
involved with the work area concerned, or the general building management or business administration.
It is preferable to indicate the commitment of executives to having a senior member of the company. The
people selected to attend should have enough experience of
their area of representation either workforce or employer and
the authority to take effective action to resolve issues raised by
the committee.
To ensure that the consultation is adequately informed at the
meetings, it is advisable to have the topics to be discussed noted
on the agenda, along with the circulation of any supporting
papers well in advance of the meeting. The problems to be
considered at the meeting are not laid down, but it is likely that
they will consist of:
• Evaluation of statistics and patterns of incidents, and so on and to interact suggestions for
corrective action.
• Consideration of H&S problems raised by members of the committee.
• Factor to consider of any safety monitoring that has occurred,
• Evaluation of employee health and safety training, communication, and promotion within the
workplace.
• Advancement and recommendations for application of the safety treatments emerging out of the
safe systems of work, and
• Factor to consider of any reports, suggestions or other information supplied by the enforcement
company, and so on.
Worker Feedback
Employees have more practical knowledge of their work and workplace and therefore, can supply
essential information about hazards in their work and the effectiveness of control measures. Employees
need to be sufficiently informed in a timely way about all pertinent matters regarding their health and
safety. Reporting arrangements should exist so that employees not only report injuries, near-misses, etc.
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but propose concepts and offer feedback on the company’s ideas to enhance health and safety. If it is to
state something cannot be done, employees will require feedback on any ideas they make even.
Feedback can be carried out in the in person discussion between supervisors, employees and their unions,
‘toolbox’ talks, briefing sessions, department/team conferences, or through an organization’s intranet,
suggestion plans, and so on, management meetings, individual discussions with coaches and managers.
The conversation ought to be broad, not merely limited to physical hazards and safety rules. Matters such
as work organization, modifications in production, innovations, and devices or working approaches can
all affect health and safety.
Training
Training (in the context of health and safety) can be considered as the planned, formal process of acquiring
and practising knowledge and skills in a relatively safe environment. Training is central to the management
of health and safety in workplaces. Employers have a responsibility to train their staff to carry out their
jobs in a safe manner. Training is a key component of competence. In the absence of training it is difficult
to develop or demonstrate competence and, as a result, statute law in many countries requires employers
to provide appropriate training for their workers.
Need for Training

Training would be required to be offered to all levels of personnel and employees at different phases of
their work. The type, level, and frequency of training depend on the training needs analysis, which takes
into account the roles and responsibilities and level of competence required to meet them. The following
are a list of events, where training will be necessary:
• On joining the company (induction).
• On the modification of function within the
organization.
• On the taking up of new duties.
• On the introduction of new work equipment or a
change of the current work devices.
• On the adoption of new technology into the work of
the employees.
• On the introduction of new systems of work or
processes or a substantial modification to those
already out there.
• Changes to legislation and or good industrial practice.
Health and safety inductions are a significant part of an organization’s health and safety management
system. The main areas in which the induction training process can affect incident prevention include:
• Having a positive effect on the safety culture within the organization, in particular by reducing
peer pressure
• Making the new starter aware of hazards, risks and risk controls
• Making the new starter aware of the safe systems of work,
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• Making the new starter aware of any site rules,

• Making the new starter aware of emergency procedures,
• Making the new starters aware of the correct use of tools etc.
• Informing the new starter of any reporting procedures
• Making the new starter aware of their personal responsibilities
Typical content of a general induction training course for new starters:

• The organisation’s health and safety policy.
• Fire and other emergency procedures.
• First-aid facilities and personnel.
• The location of welfare facilities.
• Safe movement around the workplace.
• Accident and incident reporting procedures.
• Worker consultation arrangements.
• General safety rules, such as no-smoking areas.
• Personal protective equipment requirements.
• Introduction to the safe systems of work and permit systems.
• Introduction to the risk assessment system.
Training needs analysis

Training should be carefully planned to avoid unnecessary expense and disruption and to focus resources
where they are most needed.
In order to develop a training programme, the organisation should carry out an analysis of what is
required. Factors to be considered include:
• Type and function of the organisation.
• Hazard and risk profile of the organisation, e.g. if woodworking machinery is used, training in its
safe use should be provided.
• Accident history of the organisation, which may indicate areas where awareness is lacking, or
training, is needed.
• Any statutory training requirements, e.g. for first aiders. Level of training previously provided,
together with the details of which employees have been trained and when.
Once this information is available, a gap analysis will establish the content and level of additional training
required, together with the most appropriate format for training, e.g. toolbox talks may be more effective
than classroom training in some circumstances. Finally, the organisation must consider the resources
available and determine whether the training will be delivered in-house or whether external providers
are needed.
Levels of Supervision
It wouldn’t be sufficient to provide training and instructions and expects workers to use the knowledge
gained in the workplace. Monitoring and competent supervision are essential to make sure that the skill
and experience are well transferred on site. The levels of control an employee may need in the workplace
will depend on the following factors:
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• The age of the employee

• His/her experience of work in general and of the task to be performed in particular
• The nature and complexity of the work and its risks
• The person’s skills and qualifications for the work
• His/her attitude and aptitude
• The systems of work and any specific safety requirements applying to the task
• The employee’s communication skills and any special needs that he/she may have.
The UK HSE Accident Prevention Unit has recommended that 90% of all workplace incidents are due to a
human mistake and 70% of all accidents might have been prevented by earlier (proactive) action by
management. The UK HSE has defined human factors as, ‘environmental, organizational and task aspects,
and individual and human characteristics which influence behavior at work in a method which can affect
health and wellness.’ In basic terms, the health and wellness of people at work are affected by:
• Organisational factors
• Job factors, and
• Individual factors.
These are called human factors since they each have a personal participation. The particular aspects which
distinguish one person from another are only one part of those considerations and not always the most
crucial.
3.3 HOW HUMAN FACTORS INFLUENCE BEHAVIOUR POSITIVELY OR

NEGATIVELY
One issue of critical importance to health and safety management is the way that individual workers
behave. It is estimated that well over half of all workplace accidents are caused by unsafe acts - the poor
safety-related behaviour of a worker. It is not enough to dismiss this as being due to carelessness; this
simply blames the worker and is ineffective at identifying underlying causes or corrective actions. Instead,
we must look at how “human factors” influence working practices. We have to understand why people
behave the way they do at work. If we can understand that, then it may be possible to:
• Correct poor behaviour when it is identified, by removing the cause of that behaviour.
• Anticipate poor behaviour before it occurs and introduce changes to reduce the likelihood of it
occurring.
These factors can be grouped under three main headings:
• Organisational factors - characteristics of the organisation that they are working for.
• Job factors - characteristics of the job or task that they are performing.
• Individual factors - characteristics of the individual.
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Organisational Factors
These are the characteristics of the organisation that influence workers’ behaviour:
• Safety culture of the organisation - the way that this culture is gradually absorbed by the individual
(as already discussed).
• Policies and procedures - the existence and quality of these and the way that they might encourage
or discourage good safety-related behaviour. For example, in an organisation where staff has to
spend a lot of time driving, very clear and well thought-through policies on the in-car use of mobile
phones are necessary.
• Commitment and leadership from management - whether this is visibly demonstrated outside the
boardroom (since behaviour in the boardroom is not witnessed by most of the workers in an
organisation).
• Levels of supervision - the presence or absence of, and the competence of, supervision (in the
context of health and safety) and the way that poor safety-related behaviour is dealt with. For
example, in an organisation that undertakes engineering maintenance work, the presence of
competent supervisors to oversee that work is critical as a check to prevent both rule-breaking
behaviour and human error.
• Peer-group pressure - the extent to which this is allowed to drive unsafe behaviours.
• Consultation and worker involvement - the extent to which workers are involved in the management
of health and safety issues and in the decision-making process.
• Communication - how effective the organisation is at using various communication methods to
convey health and safety messages and information to the workforce, and how well the organisation
then checks understanding of those messages.
• Resources - the availability of any necessary equipment (machine guards, personal protective
equipment, etc.) and the allocation of time to provide training in health and safety.
• Training - how good the organisation is at identifying health and safety training needs and
opportunities, and how well it then meets those needs to create well informed, competent staff.
• Work patterns such as shift systems, work at night, or extended hours - these can adversely affect
workers’ health, and cause fatigue, which can lead to poor performance on tasks that require
attention, and increase the risks associated with safety-critical work.
Job Factors
During designing any job or task, health and safety are an important consideration while assessing the
equipment, tools and machinery or procedures associated with that job. Analysing the job method helps
in developing a more user friendly and cost effective way to ergonomically design a task so that the
operatives don’t get injured/ hurt performing that job. Ergonomics is the branch of signs which studies
the interaction between man and the job, which includes the job organization, equipment, environment,
etc. If the job requirement does not match with human capabilities, it can have a significant effect on the
health and safety of the individual. A good ergonomic design of a machine will make sure that the control
features and displays are located conveniently within easy reach of the operator without the need to
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make an awkward posture and or apply too much of effort to activate it. Similarly, a workstation that is
ergonomically designed will not cause any adverse health effect on the worker/operator.
Physically and psychologically suiting the job and any associated equipment to the person will ensure that
the possibility of human error is reduced. A person must be capable, either through previous knowledge
and experience or through specific training, to perform the job with the minimum chance for human error.
The UK HSE guidance - HSG 48 gives following causes for failures in job health and safety:
• Illogical design of equipment and instruments
• Constant disturbances and interruptions
• Missing or unclear instructions
• Poorly maintained equipment
• High workload
• Noisy and unpleasant working conditions.
It is essential that health and safety of the task are kept an eye on continually to prevent failures
developing. Some issues do not end up being evident until the job is started. Other problems do not
surface until there is a change of operator or modification in some aspect of the task. It is imperative to
gain feedback from the operator on any troubles experienced because there could be a health and
wellness concern requiring further investigation.
Individual Factors
Individual factors are unique to the person, and it could be a physical, social/cultural and or psychological
attributes which determine the way a person behaves in the workplace. These when combined with job
and organization factors, force a person to act in a particular manner. Physical aspects could include, the
age, gender, physical capability, size and stamina and also existing health conditions. Socio-cultural
aspects consider the education, family background, experience, peer group pressure, etc. Out of these
the most significant factors are the psychological factors, which are the perception, attitudes, and
motivations. These aspects play a critical role in framing opinions and decisions and actions of individuals.
The physical aspects are often unchangeable; however, most of the other psychological attributes could
be changed and nurtured through proper training and behavioral management programs. In brief, when
a job is designed and/or when the individual is assessed and selected for a job these three factors must
be considered. Previous researchers have evidenced that the common individual factors that contribute
to accidents in the workplaces are:
• Poor competence
• Lack of skill and train
• Monotony and tiredness
• Reduced morale/motivation
• Personal health/medical issues
While talking about the psychological factors, its practically difficult to separate perceptions, attitude, and
motivations, as all feed back into each other. Therefore, from health and safety point of view, the
psychological aspects that require close consideration are – Attitudes, Motivation, and Perception.
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Link between the Factors

In order for hazards to be dealt with efficiently and effectively, all three factors (individual, job &
organization) need to be considered, and all three controls should be applied cohesively. If these three
influential factors are not linked and work together, the risk of human unsafe behaviors or failures occur.
Human Failure
In their publication “Reducing Error and Influencing Behavior” HSG48 the HSE identifies two distinct
characters of human failure and these are:
• Human Error
• Violations
Human error
These may be defined as a failure on the part of the human operator, to perform an assigned task within
specified limits of tolerance. Such limits are generally identified in terms of accuracy, sequence or time.
This occurs mainly due to a poor job design/ergonomics,
where people fail to perform a particular action within its
tolerance, and or due to lapses of attention. Slips are
failures to carry out the activities of a task or measures not
as planned such as:
• Performing an action too early or too late in a
procedure.
• Omitting steps or a series of measures from a
procedure
• A control switch/knob is turned in the wrong
direction.
• Doing the right thing on the wrong object
• Reading the wrong dial
Another category of human errors are ‘Mistakes,’ which primarily occurs because of a rule not properly
followed, because of the Organisational, task and
individual factors. The reason for not following a rule
could be because; the rule is not properly
designed/framed, communicated and monitored.
Another type of mistakes could be ‘knowledge’ based
mistake, where individuals are forced to use their
knowledge to perform an action, because of lack of
rules available. It could also be linked to different
factors, such as lack of competency and skill.
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Violations
Violations are the other key type of human failure and can be put in standard terms as “breaking the
rules.” Violations can fall into three categories:
• Routine
• Situational
• Exceptional
Routine violations occur due to a desire by an individual to take shortcuts, as the actual route/rule is
restrictive to follow. It could also happen because of lack of proper supervision (job factor) and a weak
safety culture (organizational factor).
Situational violations occur, where an individual is forced to violate because of lack of time or resources.
This is directly linked to poor job planning and organizational factors. Similarly, exceptional violations
occur during an emergency situation, where individual break rules to reduce risks to themselves as well
as others. This can be directly linked to poor organizational arrangements to deal with emergency, and
absence of contingency planning.
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3.4 ASSESSING RISK

Hazard
A hazard is the potential of something to cause harm, i.e. to injure people or to damage property. The
primary purpose of the risk assessment is to identify any hazard that has the potential to cause injury so
that measures can be put in place to prevent accidental exposure to them.
Risk
Risk, nevertheless, is the likelihood or possibility of that hazard
causing damage coupled with the severity of injury. The extent
of risk would include the different people who might be
impacted by a risk, i.e. the varieties of people who may be
exposed and the repercussions for them. Risk, for that reason,
reflects both the likelihood (chance/probability) that an event
will occur and the severity of its outcome.
Risk can be described qualitatively using words such as “high”,

“medium” or “low”. There will always be some subjectivity
involved since the words represent one person’s opinion of the
risk level. Different individuals have very different personality
characteristics, so two people may disagree on the level of risk
inherent in a hazard. Risk can also be defined quantitatively
using hard data. This type of quantified risk assessment is far more rigorous than qualitative risk
assessment and is beyond the scope of this course.
Risk Assessment
It is a formalised process of identifying hazards, assessing the risk that they generate and then either
eliminating or controlling the risk.
Objectives of Risk Assessments

The most important reason for carrying out risk assessment is to quantify and characterise the risks, so
that management can decide the actions required to abide by relevant health and safety legislation and,
therefore, lower the level of occupational injuries and ill-health. The purpose is to assist the employer or
self-employed person to determine the procedures needed abiding by their legal statutory task under
national legislation and/ or its associated Regulations. The risk assessment will have to cover all those who
may remain in risk, such as customers, professionals and members of the public. When it comes to shared
offices, a general risk assessment might be required in collaboration with other employers. A risk
evaluation takes a look at what could go incorrect, exactly what is necessary to stop it from failing and
assesses the effectiveness of any control step in location. Recommendations for additional control steps
can then be made on the basis that they are ‘reasonably practicable.’
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By performing risk assessments, valuable information can be obtained to assist planning and the
formation of procedures, policies, and strategies for:
• Changing or modifying dangerous or unsafe working practices
• The suitability and effectiveness of current control measures (supervision, machinery guarding,
personal protective equipment, etc.)
• Identifying groups at risk (members of staff, contractors, visitors, etc.)
• Identifying specific hazards that may need special assistance (hazardous substances, asbestos,
radiation, etc.)
• Current and future training needs.
Suitable and Sufficient Risk Assessment

A risk assessment should be ‘suitable and sufficient’. In other words, it should be good enough to fulfil
legal requirements and prevent foreseeable injuries and ill health from happening. In particular, it should:
• State the name and competence of the assessor (and any additional specialist help obtained in
carrying out the assessment).
• Identify the significant hazards and risks arising out of or connected with the work, i.e. those that
are most likely to occur and result in harm being caused, with any remaining risks being at an
acceptable low level.
• Identify all those persons who could be at risk, including workers and others, such as visitors.
Vulnerable people, such as young persons, should also be identified.
• Evaluate the effectiveness of current controls.
• Identify other protective measures that are required to control the risk to an acceptable level.
• Enable the employer to identify and prioritise the measures that must be taken to protect people
from harm, including complying with any relevant legal provisions.
• Record the significant findings of the risk assessment.
• Be appropriate to the nature of the work and remain proportionate to the risks.
• State the period of time for which it is likely to remain valid
The assessment should be proportionate to the risks in the workplace. In other words:
• A low-risk workplace with a few straightforward, often predictable hazards (e.g. a retail shop) should
have a relatively simple risk assessment carried out by a competent person (perhaps the manager)
by reference to some basic guidance documents.
• A high-risk workplace (e.g. a chemical works) should have a far more complex risk assessment
carried out by competent persons (PhD industrial chemists, etc.) using detailed, complex reference
material.
The first assessment might take a few hours to complete; the second might take weeks.
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Steps of Risk Assessment

Risk assessment is a logical process of collecting information and making judgments against standards,
often set out in law, to establish whether or not risks are adequately managed. How a risk assessment is
carried out will depend on local legislation and best practice requirements, the nature of the work or
business, and the types of hazards and risks. The risk assessment process should be systematic, practical,
and take account of the views of employees and their health and safety representatives who will be able
to contribute practical knowledge Risk assessments should not be overcomplicated and trivial hazards
should be ignored. Risk assessment should be a common sense approach. There are many variations on
the risk assessment process.
The following system involving five steps is simple, easy to follow, and relevant for most general risk
assessments:
• Identify the hazards.
• Decide the people who may be harmed and how they will be harmed.
• Evaluate the risks and existing control measures, and select additional controls.
• Record the findings.
• Review assessment and revise if necessary.
Identification of Hazards
Identifying hazard is a crucial step in carrying out a risk
assessment. Since, the risk arises from a hazardous situation, it’s
important to identify and characterise these hazards, before the
other steps in the assessment can be carried out. At this stage,
one may decide to filter out hazards which are trivial in nature
and assess only the significant ones.
Hazards can be identified by a simple walkthrough inspection of

the work area/activity, by interacting with the operatives and
supervisors, reviewing documentations related to incidents in the past, checking the manufacturers and
suppliers manuals etc. It is necessary to separate hazardous conditions and hazards, during hazard
identification. Unsafe conditions should be corrected as early as possible during the hazard identification
process. Therefore, it’s always advisable to carry out the hazard identification inspection along with the
line management staff.
Examples of hazardous conditions include:

• Guards missing from machines.
• Wrong signage posted
• Spillage of oil and other contaminants on the floor
Hazards will vary from workplace to workplace but what follows is a brief listing of common hazards that
are significant in many workplaces:
• Slips, trips, and falls.
• Working in extremes of temperature - inside and outside.
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• There are a lot more generalized in your course notes.

There could be some hazards especially issues associating that has a risk of ill-health may require a
detailed and a different approach to identifying the hazards. Identifying health hazards through mere
physical observation will be difficult. The problem needs to be anticipated, and an initial survey must be
carried out to establish the problem, and based on the results of the survey a detailed assessment will
have to make using specialized equipment and competent people.
Identification of Population at Risk

Employees and contractors at the site or workplace are the most prominent groups at risk, and it will be
necessary to check that they are competent to perform their particular tasks. However, there may be
other groups who spend time in the workplace e.g. young workers, trainees, new & expectant mothers,
cleaners, contractor & maintenance employees and members of the public. People will include visitors,
patients, students or customers as well as passers-by. The assessment would require identifying specific
precautions for these vulnerable groups of people, as they would need separate treatments because of
their disadvantaged state. The severity of the risk would also vary by number of people who come into
contact with the hazard. Therefore, that also needs careful consideration.
It is important to consider who might be harmed and how that injury can occur.
Who Might be Harmed?

• Employees.
• Shared workplace staff.
• Delivery vehicles.
• Visitors.
• Members of the public
• Emergency Services.
Consideration must be given to invited and uninvited members of the public in and around the place of
work. Children are drawn to building sites, open yards, and equipment stores. Like it or not, you have a
duty to assess the risks to their safety also.
How Might they be Harmed?

People get hurt / injured in their workplace, in different ways. This list in your course notes is not
exhaustive and is not set out in any particular order of relevance, but it does supply typical examples:
• Slips, trips, and falls
• Cuts, abrasions, and punctures from sharp objects, etc.
• Falling objects.
• Handling heavy objects resulting in strains, sprains and back injury
• Collision with vehicles, forklifts, and moving machinery.
• Crushing or burying.
• Electrical shock, burn, arc or fire.
• Exposure to dust, fumes, gas, mists, vapors and biological agents
• Noise and Vibration.
• Exposure to high direct or reflected light, etc.
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Evaluating Risk
Risk is about the likelihood and the consequence coming together. Therefore, a careful consideration will
have to be given while assessing on how these hazards could be realised and cause some loss/harm. This
will determine whether or not you need to do more to reduce the risk. After considering all precaution,
there could still be some risk that remains which is called as residual risks. To do this, we can use the
Likelihood (Probability) and Severity (Probability) matrix. There are various types of this matrix, and the
one below is one of the more popular although there may still be variations in the figures.
Likelihood (Probability) 5 Certain, imminent

This is a subjective assessment of the Likelihood (probability) that 4 Very likely
the hazard can be realized. 3 Likely
2 Unlikely
Severity (Consequence) 1 Very unlikely
This is the assessment of potential outcomes. We can apply a similar
5 Fatality
procedure to that used to estimate the likelihood and produce a
4 Disabling Injury
numbered scale. This can usually be assessed by relating to accident
3 Non-disabling Injury
statistics or common sense. In some cases, the information can be 2 Minor injury
obtained from manufacturer’s data, HSE Guidance or other 1 Insignificant – no injury
published information. Note this must take into account the actual
situation and be realistic. It is remotely possible that someone tripping over a cable in an office may be
killed, however, the most probable result is bruising or at worst a fractured bone. If however, the cable is
trailing across the top of a long and very busy stairs then a single death or even multiple deaths could be
a more appropriate assessment.
Risk Rating
The severity factor will need to be multiplied with the likelihood factor to get to the risk score for each
hazard. This will give a number on a scale of 1 to 25. These figures offer an indication of top priority and
the level of risk; higher the number, higher the risk. If the number is less, then the risk is lower and for
that reason, the more resources which might be had to manage the risk. As a rough guide: 15 to 25 are
high risk and may require the provision of significant resources including specialized equipment, training,
high levels of guidance, and consideration of the most reliable approaches of getting rid of or managing
hazards. 8 to 15 is medium risk and will need a proper level of resources. 1 to 7 is low risk; however actions
must still be taken to aim to control these risks to further to a level which is reasonably practicable.
Evaluating Existing Control Measures

Having performed the evaluation, the next part of the process should be to identify the methods of
protection that are employed to avoid harm or mitigate the risk to persons or property. These control
measures could be one or more of those listed below.
• Physical barriers and Safety devices
• Warning signs and devices
• Safe access and egress or Access restriction
• Permits to work
• Training, information and consultation and Supervision
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• Inspection and maintenance

• Housekeeping, Ventilation or extraction
• Personal protective equipment (PPE)
General Principles of Prevention

To manage risks in an organization, the steps are identical to the more narrowly defined aspects of health
and safety risk assessment as discussed previously. However, the scope is wider to encompass all the
aspects of risk that will affect business. In principle the risks cannot be appreciated until they are known,
so the first step is to identify the underlying causes of risk to the business. Once these root causes have
been determined, the need is to identify which one will cause the company most difficulty - usually
expressed in terms of financial loss - which can be classified as evaluation. Once these causes are known
and placed into a priority order, proper action must be taken so that the hazard exposures are properly
controlled.
Hierarchy of Measures (ISO 45001:2018)

When hazards are identified through the risk assessment process it is necessary to decide on the
precautions needed to control those hazards to an acceptable level. This is the most important part of the
risk assessment – identifying the further action that is needed and taking that action. When trying to
decide what further precautions might be appropriate to a particular situation, a useful approach can be
to use a risk control hierarchy.
The general hierarchy of control (based on ISO 45001:2018):
• Elimination;
• Substitution;
• Engineering controls;
• Administrative controls;
• Personal protective equipment.
Elimination or Substitution
This is the best and most effective method of avoiding a serious hazard and its associated threats.
Elimination occurs when a procedure or activity is totally avoided because the associated risk is too high.
This might be achieved in numerous methods i.e. purchasing readymade parts and not fabricating
internally. Substitution describes making use of a less hazardous form of the substance. There are many
examples of change, such as using water based instead of solvent based paints. It must be kept in mind
that substitution may introduce new hazards and risks, and must be evaluated.
Reducing Time or Limiting Exposure

The likelihood and the severity will depend upon the time and duration of exposure and also how
frequently people are getting exposed. Therefore, controlling this aspect is an effective administrative
measure to reduce the risk.
Engineering/Hardware Controls
This explains the control of hazards by means of engineering design instead of a reliance on preventative
actions by the employee. There are numerous ways of accomplishing such checks:
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• Manage the risks at the source (e.g. The use of more efficient dust filters or the purchase of less
noisy equipment)
• Manage the possibility of exposure by:
o Isolating the equipment by the utilization of an enclosure/barrier etc.
o Insulating any electrical or temperature hazard.
o Use of different ventilation methods (natural or mechanical – dilution and local exhaust
ventilation)
Isolation
Isolation could have several applications, for example:
• Isolating the person from a process by say operating a machine from within a control room, using
enclosures and guards are other examples
• Separating a process from people, here an example could be using a spray booth rather than
manually spraying.
• The isolation of power and or energy sources i.e. electrical, steam, air, etc.
Segregation
The simplest and most efficient engineering control is the separation of people from the process, and a
chemical fume cupboard is an example of this as is the handling of toxic substances in a glove box.
Administrative Controls - Safe System of Work

A method of safe working is a reasonable requirement of national health and safety legislation; a set of
rules and instructions to safely performing the work activity. If in case, the risks are still high or medium,
then there is a need to have a very formal written system where there is a positive confirmation taken
from all parties on following the safe method and properly communicated to all parties through a
thorough training. Being a legal requirement, the trainings associated with the SSOW must be properly
recorded and maintained, and supervised.
Training, Information
Each of these topics is important but should not be used in isolation. An essential feature of any risk
management system is the training provided to those who handle or use that equipment and/ or
substances, etc. Information includes such items as signs, posters, systems of work and general health
and safety arrangements.
Safety Signs and Signals

Signs are defined in a number of ways to primarily provide information or instruction by means of:
• A signboard
• A colour
• An illuminated sign
• An audible/acoustic signal
• A verbal communication
• A hand signal
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Prohibition Signs
These are signs which indicate that certain behaviors or actions are prohibited. They have the following
characteristics:
• Shape: round (circular).
• Colour: red edge with white background (the red should take up 35% of
the sign).
• Pictogram: illustrating the prohibition with a red diagonal line through
it.
Warning Signs
These are used to alert people about a hazard/threat at the workplace. They
have the following characteristics:
• Shape: triangle.
• Colour: black edge with a yellow background (the yellow should take up
50% of the sign).
• Pictogram: in black depicting danger.
Mandatory Signs
These describe actions or behaviors that must be undertaken.
• Shape: round circle.
• Colour: blue background (50% of the sign must be blue).
• Pictogram: white illustrating the required action
Safe Condition Signs

These signs depict or provide information about safety conditions and relate to
emergency escape and first aid provision.
• Shape: rectangle or square.
• Colour: green background.
• Pictogram: white illustrating the action or condition
Fire Related Signs

These indicate equipment and provisions for fire emergency use: These are red and white in color.
Personal Protective Equipment
Definition
The basic legal definition is ‘All equipment (including clothing protecting from
weather) which is meant to be worn or held by a person at work, and which
protects them against different hazards to their health and safety. In other
words, personal protective equipment (PPE) includes:
• Protective clothing, such as aprons, protective clothing for adverse weather conditions, gloves,
safety footwear, safety helmets, high visibility waistcoats, etc.
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• Protective equipment, such as eye protectors, life jackets, respirators, underwater breathing
apparatus and safety harnesses.
Items not regarded as PPE

It is generally accepted that the following are not considered to be personal protective equipment:
• Ordinary working clothes and uniforms which do not explicitly protect the health and safety of
the wearer
• Offensive weapons used for self-defense or as a deterrent
• Portable devices such as gas detectors or personal (attack) alarms
• PPE used for protection while traveling on the road, such as seat belts, crash helmets, gloves, etc.
• Any equipment that is used during the playing of competitive games or sports.
The Uses and Cost of PPE

The purposes can be classified as:
• First line protection to enable a job to be done that could not be done otherwise, or at least only
with difficulty, for example, diving and entry into intense heat or cold, i.e. PPE as a tool
• To offer protection in the event of something going wrong, e.g. Something falling onto the head
or toes, and as a back-up to other control systems.
• To protect the product, e.g. from contaminants in the food industry.
• To attenuate or reduce even further the exposure to an agent which is primarily controlled by
other means, e.g. dust/gas filtered by LEV.
There is a price to pay for using PPE, not just the financial cost of the equipment itself and its maintenance,
but also the costs in terms of workers’ time spent collecting it donning and doffing, etc.
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Risks introduced by PPE

When identifying the need for PPE and its form, it is important to involve the wearers. This is
predominantly important when considering the potential for new risks and restrictions introduced by the
PPE. The PPE may increase the risk of:
• Tripping, Falling and Knocking into things
• Sleeves catching on door handles and the garment burning
• The sense of smell being removed by a gas mask
• Overheating and Not being able to move quickly and easily
• Communication problems and Dermatitis from gloves
• Abrasions of skin from the garment and infection of wounds
• Entanglement of PPE with equipment, machines, and tools
• Faulty maintenance of PPE and Transfer of contaminant onto PPE
• The PPE is retaining contaminant and extending the exposure of the wearer.
Issue and replacement

To be effective, there shall be written procedures for issuing and making sure that the correct PPE is issued
to a person. The date of issue, and to whom, will be logged and if the item has a limited life, e.g. plastic
safety helmets, gas filters, welders glass filters, or if it has to be recalled for testing, e.g. safety harnesses,
or retreated with flame proofing, then the action is taken at the appropriate time. One procedure to assist
with exact issue is to keep personal records so that, provided the operative’s work does not change
without the record being changed, the agent receives his or her assigned PPE. Depending on what is
issued, at the time of issue, the item should be fitted, and the user asked to demonstrate that they know
how to check and test the item. This is very important for respiratory protection, eye freedom from splash
and ear protection.
Cleaning and Decontamination

All PPE will require cleaning from time to time. Instructions should always be obtained from the supplier
regarding cleaning and decontamination. Very often decontamination is simply a matter of washing down
with water, which has the advantage that if holes or breaks occur in garments, they can be detected by
the wet patches that develop. There has to be a place for the storage of all items of equipment so that
the wearer knows where to find it, where it is safe and protected from loss, damage, dirt, sunlight, and
damp. If the PPE becomes contaminated or dirty during use, it should be stored separately from street
clothing. If PPE is awaiting cleaning, testing, repair or maintenance, the storage area should be clearly
designated so that confusion with operational PPE cannot arise.
Information, Instruction, and Training

From the beginning, when issuing PPE, it should be made very clear regarding what is needed by way of
training, details and direction. It has to allow the employee to know:
• The hazards that the PPE is managing and the purpose for which it is being utilized
• The method which the PPE controls the hazards and its limitations
• Why the PPE is the proper devices
• The method to use the PPE to make sure that it works when it is appropriate to check it
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• Ways to keep the PPE in regular working order and excellent repair.
Limitations of PPE Usage

Whichever type of PPE is selected in the protection strategy, it must be remembered that:
• Even if used together with other control measures, the PPE that is selected must be capable of
providing adequate protection alone, should other controls be ineffective or fail
• No PPE will provide 100% protection
• The effectiveness of PPE may be affected by being worn with other items of PPE, such as face
masks with goggles, etc.
• Effectiveness is dependent upon the PPE being worn for all of the exposure time
• Personal factors such as physical characteristics may affect good fit of PPE
• Existing health factors of the user, such as asthma or ear infections, may restrict the use of some
types of PPE
Use of guidance
If there is no clear legal standard, or where the legal standard is open to interpretation, there may still be
guidance published by the authorities that clearly identifies the controls that are expected. Reference to
the law, any semi-legal codes of practice, and guidance published by enforcement agencies is therefore
important in determining what the precautions should be for a particular hazard in the workplace.
Residual, Acceptable and Tolerable Risk

When carrying out a risk assessment the actual situation that really exists within the workplace must be
assessed - not the general hazards that would normally apply to the type of work typically, and not the
way that the company policy document says the work should be carried out. To be effective the risk
assessment has to be based on the workplace that really exists. The assessment can also take into account
all the current controls and precautions that exist. What is being assessed is the real situation with all the
current controls in place.
For example, an assessment considering electrical safety in an office environment should take into
account whether there is a system in place for the routine inspection and testing of portable electrical
appliances. If there is, that may indicate that the risk is being controlled to an acceptable standard. If there
is not, then that may indicate that the risk is not being controlled to an acceptable standard, even though
all the portable appliances look as if they are in a safe working condition. When existing controls are taken
into account the current risk level can be estimated as (Likelihood x Severity).
The risk that remains once these existing controls have been taken into account can be referred to as the
residual risk.
• If the residual risk is low then it might be considered acceptable - the existing controls are
adequate. Nothing more need be done. In effect, the risk assessment has confirmed that the
current situation is acceptable.
• If the residual risk is high, a decision has to be made about whether this residual risk is tolerable
or unacceptable:
o Tolerable implies that it is not acceptable but it can be tolerated for a short time while
interim controls are put into place.
o Unacceptable implies that the risk level is too high for work to be allowed.
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In the case of both tolerable and unacceptable risk additional controls will need to be put in place to
reduce the risk down to an acceptable level. Once these controls have been implemented a new residual
risk level is created.
Recording the Findings

The record of results provides evidence of conducting a suitable and sufficient risk assessment. It also
produces information to create action plans for improvements that need to be made. These can be stored
in whatever medium is convenient as long as it is easily retrievable. There is usually a legal (national)
requirement to record the significant findings only; this should include:
• Significant hazards identified in the assessment
• Existing controls and the extent to which they control risks
• Who may be affected by these risks and any groups at risk
• Results of findings conveyed to staff in a relevant way.
Considering – Reasons for Review

Performing a risk assessment and filing it out is not the conclusion of the
procedure. It is ongoing and needs to be reexamined and updated regularly.
The process of review will ascertain that any changes to control measures
that have been specified, can be checked for progress and re-evaluated for
their strength. Subsequent risk assessments need not be as detailed, as long
as there have been no significant changes in working practices or procedures
since the last appraisal.
When Should Reviews Be Carried Out?

• After an agreed set period – stated on RA form
• Following a change of working practices
• After the delivery or commissioning of new plant or equipment
• After any adverse event, accident, equipment failure, etc.
• After it is deemed that the original risk assessment is no longer valid, etc.
Special Case Applications

Young Persons
When making or reviewing an assessment, any employer who is to employ a young person (defined as
anyone under 18) should take particular account of a number of unique factors:
• Their inexperience, lack of awareness of risks and immaturity
• The setting out and layout of the workplace and the workstation
• The nature, degree, and duration of exposure to physical, biological and chemical agents
• The type of work equipment and its use.
• The organization of processes and activities
• The type, nature and extent of the training provided to young persons
• Risks from agents i.e. carcinogens, means i.e. explosives and dangerous work i.e. involving
dangerous animals.
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When employing young persons, the following control measures should be considered:
• Arrangement of induction training considering the limitations of the young adult already kept in
mind in this Element
• Mentoring by a more experienced and responsible colleague
• Particular health monitoring where working conditions determine
• The establishment of clear lines of interaction so as to eliminate any areas of doubt or
unpredictability
• Restricting the work that the young individual is anticipated to carry out in line with the notes
previously in this area
• Restricting the hours that the young adult is allowed to deal with regard to nationwide
requirements
New and Expectant Mothers

Meanings of an ‘expectant or new mother’ are offered as being: An employee who is pregnant; who has
delivered within the previous 6 months; or who is breastfeeding. Where ‘has actually given birth’ is
defined as ‘provided a living kid or a stillborn kid after twenty-four weeks of pregnancy, a stillborn. If risks
are identified then the expectant/new mom is entitled to a change in working conditions, be used suitable
alternative work, or if that’s not possible arrange paid leave for as long as essential. Being pregnant or a
new mom does not avoid ladies from working and establishing their career.
Duty of the Employer

The principal responsibility of an employer is to protect new or expectant mothers from risk in connection
with the work undertaken, such as:
Work involving any processes or working conditions.

• Certain physical risks.
• Chemical hazards.
• Biological hazards
New and expectant mothers should avoid:
• Lifting heavy loads
• Working in confined spaces
• Working at unsuitable workstations
• Working in stressful or violent environments
• Working with lead
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Disabled Workers - Definition of Disability

Disability can include learning difficulties, mental health
problems, physical disability (not necessarily just mobility
impairment) and communication or sensory impairment. In
addition, some members of the workforce will also have needs
due to a hidden disability, such as diabetes, heart disease or
epilepsy; their requirements are likely to be minor but should
also be taken into account. A permanent or temporary
disability may also be due to injury or disease, for example,
temporary mobility impairment due to a broken leg or even
due to the normal degenerative conditions of aging. Physical
impairment includes any weakening or reduction in function of
any part of the body.
General Workplace Considerations

The presence of people with disabilities on company premises may require extra facilities. Examples of
such additional services include proper access and egress for wheelchair users, physical signs for visually
impaired people or visual emergency alarms for hearing-impaired people. These services are required to
enable an individual to be more productive or to ensure the safety of the person. The need is to determine
what requirements must be met to allow those with special needs to be fully employed to the best of
their ability. The British Standards Institution has published guidance to ensure that buildings, including
workplaces and places offering goods facilities or services, are more accessible and usable to disabled
people.
Workplace access
Good access and egress is a requirement of a number of national legislation standards. When ensuring
that the general aspects of access and egress are suitable, the needs of disabled people must be taken
into account. The main criteria will include the ability or mobility of impaired people to escape the building
safely (without the use of standard lifts) and the ability of individuals to use signage (for example, adding
physical signs).
Lone Workers
People who work entirely on their own for periods of time, or those who are not alone but are not with
colleagues on whom they can rely for help, might be classified as lone workers. For example, a service
engineer who spends four hours alone in a plant room servicing machinery is a lone worker, but so is a
health-care worker who travels around in the local community visiting elderly patients to provide care
(even though they may be in sight of other people at all times during their working day).
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Lone workers are a group of workers who are especially vulnerable in certain instances:
• They may be more at risk of violence, particularly if the worker is exposed to members of the
public, has to travel out into the community, or is involved in work that brings them into contact
with violent people, e.g. in prisons or mental-health institutions.
• They may be more at risk if they are injured or fall ill. Certain types of work involve a high risk of
personal injury or ill health (e.g. confined space entry). In these situations lone working may be
inappropriate or additional precautions may be necessary to protect the individual. We will
discuss precautions that might be adopted to safeguard lone workers in more detail later in this
element.
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3.5 MANAGEMENT OF CHANGE

Management of Change, or MOC, is a best practice used to ensure that safety, health and environmental
risks are controlled when an organisation makes changes in their facilities, documentation, personnel, or
operations. It is important to understand that even small deviation from design, simple mistakes or poor
decision can have catastrophic consequences. Management of change also covers changes in process
technology and changes to equipment and instrumentation.
Changes in process technology can result from changes in production rates, raw materials,
experimentation, equipment unavailability, new equipment, new product development, change in
catalysts, and changes in operating conditions to improve yield or quality. Temporary changes have
caused a number of catastrophes over the years, and employers must establish ways to detect both
temporary and permanent changes. It is important that a time limit for temporary changes be established
and monitored since otherwise, without control, these changes may tend to become permanent.
A typical change form may include a description and the purpose of the change, the technical basis for
the change, safety and health considerations, documentation of changes for the operating procedures,
maintenance procedures, inspection and testing, electrical classification, training and communications,
pre-startup inspection, duration (if a temporary change), approvals, and authorization. Where the impact
of the change is minor and well understood, a check list reviewed by an authorized person, with proper
communication to others who are affected, may suffice.
Change Identification
A change is any modification to the conditions agreed, understood or set out that affects the work, the
time for performance and/or the price/cost and may include any one, or a combination of the following:
• Changes affecting the conditions of performance of the work (methodology, quality, quantity,
logistics, split of responsibility, etc.)
• Changes to law, or other ambient conditions defined in the specified requirements
• Changes affecting the safety of personnel, activities or product
• Changes affecting the time schedule
• Changes affecting the cost of performing the work
• Materials, plant and equipment
• Modification to systems (including equipment, devices, rigging)
• Modification of documents and information
• Organizational changes that could affect transfer of task responsibility or task omissions
through organizational change;
• Changes to legislation or codes and standards, which may have an impact on HSE or technical
integrity of the project.
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Control Measures to Mitigate the Impact of Change

• Communication and co-operation
• Risk assessment
• Appointment of competent people
• Segregation of work areas
• Amendment of emergency procedures
• Welfare provision
Review of Change
The following documents should be reviewed and revised,
• Cause and effect charts
• Process Flow Diagrams (PFDs)
• Piping and Instrument Diagrams (P&IDs)
• Electrical area classification drawings
• Instrumentation (hardware/software)
• Relief systems
• Fire protection and safety systems
• Fire and gas layouts
• Input/output schedules and layouts
• Corrosion prevention/monitoring programmes
• Materials of construction
• Equipment specifications
• Operating procedures
• Maintenance procedures
• Personnel training
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3.6 SAFE SYSTEMS OF WORK FOR GENERAL WORK ACTIVITIES

Purpose of Safe System of Work
A safe system of work is a formal procedure based on a systematic examination of work in order to identify
the hazards. It defines safe methods of working that eliminate those hazards, or minimise the risks
associated with them.
It is the responsibility of the employer to ensure that safe systems of work are available for all work
activities that create significant risk, just as it is the responsibility of the employer to carry out risk
assessment of all work activities. Safe systems of work become particularly important when significant
residual risk remains after control measures have been introduced into work processes. They are also
particularly important when the normal control measures present in the workplace are removed, as often
happens during maintenance work, cleaning or construction work.
Worker Involvement in Safe System of Work

It is best practice to involve the workforce or representatives of the labour force in any development,
modification or assessment of safe systems of work. The people actually doing the job will have an
understanding of what is practical and what will work. Since the workers or their representatives are
involved in the development of safety systems of work, there will be a high level of ownership among the
employees towards the management system in general and towards the safe system of work in particular.
This will also increase the likelihood of voluntary compliance with the procedures amongst the workers.
When the safe system of work is finalized, it must be adequately communicated to the workforce.
Importance and Relevance of Written Procedures

Documenting SSWs provides a precise reference for all workers, and ensures consistency of method,
especially as the procedure may be complex or detailed – passing information via “word of mouth” is an
unreliable method of communication and prone to errors. It also provides a reference for use in training
and instruction in safe procedures and, as most procedures will need to be consulted on more than one
occasion, the creation of a definitive document is a way of ensuring consistency whenever the process is
carried out.
SSWs may be recorded in the form of short notes, or perhaps manuals detailing exactly what steps to take
when carrying out more complex and lengthy procedures, such as calibrating and setting up grinding
wheels. SSW documentation can be accompanied by checklists for employees to use as aids to ensure
that all the correct steps are taken, and to tick off details before continuing with the next step or starting
operations. Written SSWs also establish a standard that can be audited, and provide the employer with a
written record, which may be required for legal reasons, such as in incident investigations or during
enforcement action.
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Technical, Procedural and Behavioural Control

Hierarchies of risk control measures
In any given set of circumstances, some risk control measures will be ‘better’ than others, and it is of
course preferable to use the ‘best’ option. However, there are various different criteria which can be used
to define ‘best,’ including:
• The number of people protected by the risk control measure
• The extent to which the continuing effectiveness of the risk control measure relies on human
behavior
• The degree to which the risk controls measure requires testing, maintenance, cleaning, and
replacement and so on.
• The cost of the risk control measure
This hierarchy has three categories.
Technical Controls:
By means of design, hardware and/or technological
improvement, the hazard is being controlled. This could
be otherwise called as Engineering controls or hardware
controls. Once it is in place, it is less dependent on
people use, and hence more efficient. Technical risk
control measures, including:
• Machinery guarding,
• Various forms of fencing, and
• Different types of ventilation.
In general, these types of controls are more reliable
once it is carefully designed, developed and regularly
maintained, as they are not depended on active
involvement of people once it is in place.
Procedural Controls:
By means of a system or procedure, the risk is being managed. This
requires individuals involved in using it to work. This could be
otherwise called as ‘soft’ controls. Procedural risk control measures, Permit of work must be
including
obtained
• Systems of work and
• Maintaining plant, equipment and so on in a safe condition.
Where the procedures are well designed, and their implementation is adequately monitored, these
measures can be successful, but they do rely on, for example, people keeping to a work procedure and
remembering to carry out the necessary maintenance work.
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Behavioral Controls:
These controls are aiming at improving people perception, understanding and changing their attitude to
behave safely. Behavioral risk control measures, including information and training. These actions rely for
their effectiveness on a number of things, including:
• The appropriateness of the information or training,
• The extent to which it is understood, and
• The degree to which this understanding is put into practice.
As a category, therefore, it is the one which is most prone to failure as a result of people not doing what
they are supposed to do.
Developing Safe System of Work

As a part of the planning process safe systems of work are developed by task analysis, prior to work
commencing. Task analysis is the process of breaking a job down into its component steps and then
identifying the hazards associated with each step. The safe working method can then be identified to deal
with each hazard.
Factors to Consider
When developing a safe system of work it is important to identify the task that is being carried out. The
following factors can also be considered:
• People: Who is the SSW for? What level of competence or technical ability should they have?
• Are there vulnerable persons involved? How many people are working on the task?
• Equipment: What plant or equipment will be worked on? What equipment will be used?
• What safety equipment will be required? What are the hazards associated with the job and the
equipment?
• Materials: What materials will be used or handled during the work? What are the hazards of the
materials? How will waste be disposed of?
• Environment: In what type of environment will the work take place, e.g. space, light and
temperature? Might any of these factors increase risk or need to be controlled?
Analyzing Tasks, Identifying Hazards and Assessing Risks

The analysis of the job during the development of an SSW is a critical factor to ensure that it remains
practical and reflects the reality of the actual work environment in which the task is being carried out.
Method statement would be a good starting point to start with to understand the environment in which
the activity will be performed, the type of substances, equipment, tools that will be used and the type of
people who are likely to be involved in doing the job. The analysis of the work to be carried out can be
achieved in a number of ways. These are all concerned with analyzing the tasks to be conducted and to
integrate the machine and human components of the system of work.
Job Safety Analysis (JSA)

A more traditional approach is that of job safety analysis (JSA), the principles of which have mostly been
integrated into risk assessment techniques. It is not dissimilar to the design task approach. This process
begins with an overview of the job in terms of:
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• The job description (either as a particular job or as a set of activities)

• Location
• Materials to be used
• Equipment and machinery involved
• The hazards and the risks
• Personal protective equipment
• Organization of the work
• Listing the tasks required
From this list, a more detailed analysis can be undertaken relating the various functions to the hazards
and job skills required. A useful way to present a job analysis is to create a table listing the various tasks,
the risks involved, the skills and knowledge required, factors which may influence the work and the
training required.
Introducing Controls and Formulating Procedures

Safe systems of work should be complete. Wherever possible, they should be incorporated into normal
process operating procedures. This is so that:
• Health and safety is seen as an integral part of, and not add-on to, normal production procedures
• The need for operators and supervisors to refer to separate manuals is minimized.
Whatever method is used, all written systems of work should be signed by the appropriate managers to
indicate approval or authorisation. Version numbers should be included so that it can quickly be verified
that the most up-to-date version is in use. Records should be kept of copies of the documentation so that
all sets are amended when updates and other revisions are issued.
Instruction and Training in the Operation of the System

People doing work or supervising work must be made acutely aware of the laid-down safe systems that
apply. The preparation of reliable systems will often identify a training need that must be met before the
system can be implemented effectively. In addition, people should receive training in how the system is
to operate. This applies not only to those directly involved in doing the work but also to supervisors/
managers who are to oversee it.
Monitoring the System

The safe system will require measures to ensure it is complied with. Compliance can be achieved in a
variety of ways using such measures as inspection, monitoring and direct supervision. Regular inspections
and/or examinations can be used to ensure that the safe system of work is in place and is being followed.
The details of the monitoring to be undertaken and the role and duties of supervisors and managers
should be clearly stated and adhered to. These should notably include the identification of unsafe
conditions or dangerous deviations from the safe system of work requirements.
Review
Arrangements should be in place to ensure that the system is scrutinized at regular intervals. This should
also occur when any changes require alteration to the scheme of work. Such changes may result from the
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introduction of new machinery, different materials, product formulation, and changes in working patterns
or modifications in process or equipment. Even relatively minor changes should be examined to determine
their effect on the safe system of work.
Reasons for failure of SSOW

• Poorly written procedures
• The inadequate scope of procedures.
• Inadequate training
• Abuse of procedures
• Poor recording, i.e. incorrect documentation of activities
• Management failures i.e. lack of commitment, not supplying funds, etc.
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3.7 PERMIT-TO-WORK SYSTEMS

Meaning
A permit to work is a formal documented control process
which takes account of all the foreseeable interactions
between the worker, the environment, and the associated
hazards. It defines the procedures and precautions to be
undertaken and the sequence in which they should be carried
out. The permit to work approach is not in itself a safe system
of work, but a particular type of control. It is designed to
prevent human errors, especially those of different
knowledge, incorrect assumptions, and mixed messages.
Role and Function

The permit-to-work procedure is a specialized type of safe system of work for ensuring that potentially
hazardous work (e.g. entry into process plant and other confined spaces) is done safely. Although this
procedure has been developed and refined by the chemical industry, the principles of the permit-to-work
system are equally applicable to the management of complex risks in other sectors. The fundamental
principle is that certain defined operations are prohibited without the explicit permission of a responsible
manager, this permission is only granted once stringent checks have been made to ensure that all
necessary precautions have been taken and that it is safe for work to go ahead.
Operation and Application

A permit-to-work system is a management system that is supported by, and makes use of, permits-to-
work (which are pieces of paper). Permits-to-work are formal documents specifying the work to be done,
hazards, and the precautions to be taken. The permit provides a clear written record; signed by a
responsible manager or supervisor that all foreseeable hazards have been considered and all the
necessary actions have been taken. It must be in the possession of the person in charge of the work before
work can commence. Permits are usually triplicate-copy documents with a unique identification number
for cross-reference purposes.
The sections of a permit-to-work operate in the following way.
Issue
This section of the permit defines the work, identifies the hazards and determines the necessary safety
precautions. An authorising manager must complete this section. This will require them to carry out a risk
assessment of the work in order to identify all the relevant hazards and precautions. The manager must
be competent to do this. The authorising manager must specify:
• The exact nature of the work.
• Where the work can take place.
• The names of each of the workers authorised to carry out the work.
• The date and time that work can start.
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• The period of time the permit is valid for.

• The control measures that must be in place before, during and after the work.
• Any restrictions.
• Any other permits that may be relevant.
The authorising manager signs the permit to formally confirm that all necessary precautions have been
taken and that work can now start, providing the necessary precautions are adhered to. The manager’s
name and signature, and the date and time should be clear.
Receipt
Here the handover process to allow work to start is formalised. The workers sign the permit to formally
confirm that they understand all the hazards, risks and precautions and those they will comply with all
necessary control measures. Names should appear clearly in capital letters with signatures, dates and
times.
Clearance/Return to Service
The workers sign this section of the permit to confirm that they have left the workplace in a safe condition,
that work is complete and that normal operations may resume.
Cancellation
The authorising manager signs this section to accept the hand-back of the workplace from the workers.
This also has the effect of cancelling the permit so that no further work can take place under its authority.
Extension
This section is included in some permit systems in case there is any overrun of the work. It allows the
authorising manager to grant an extension to the timescale of the permit.
Permits are often issued in triplicate:
• One copy is displayed in the area where the work is taking place.
• One copy stays with the authorising manager.
• One copy is displayed in a central location (often on a permit board) where other permits are also
displayed for clear communication.
Limitations of the Permit to Work System

Remember that a permit-to-work is just a piece of paper; it does not ensure safety. What ensures safety
is the management system that it represents. In some cases, permits are treated simply as unnecessary
paperwork - to be filled in because someone at head office says so.
This can encourage casual practices, such as authorising managers to issue permits without actually
checking that control measures have been put in place, which can lead to unfortunate consequences.
A good permit system is only as good as the persons using it. To work effectively:
• Only authorised persons should issue permits.
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• Permit issuers must be familiar with the hazards of the workplace and the job to be carried out.
• Precautions must be checked before permits are authorised (no issuing of permits from the
office!).
• Permits must never be amended.
• All permit conditions must be adhered to.
• Staff must be trained and competent.
• The system must be monitored to ensure it is effective.
• The PTW system must be appropriate for the nature of the business, e.g. a bakery may require a
less complex system than an oil rig.
• Sufficient time must be allowed to ensure permits are issued correctly, and staff trained to
understand this. Contractors, for example, may become stressed if the process is time-consuming,
but must understand that they are required to adhere to the system.
Specific Use
Certain types of activities and particular hazards require a permit to work procedures as part of the safe
system. These include work involving:
• Complex and highly hazardous situations
• Dangerous substances
• Confined spaces
• Electrical work, especially high voltage
• Pressurized systems and pressurized atmospheres
• Radioactive or biologically hazardous environments
• Hot work such as welding, in certain situations
• Maintenance work on plant and machinery
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3.8 EMERGENCY PROCEDURES

Importance of Developing Emergency Procedures
Despite all the controls that can be introduced into an organisation, things can still go wrong. Accidents
and incidents do happen. When they do it is critical that the organisation has emergency procedures that
can be brought into effect without delay, otherwise there may be a poor or inappropriate response that
makes things worse, rather than better.
Crisis Management
These are plans or procedures put in place to deal with the more strategic issues facing organizations in
times of emergency or disaster. They can range from arrangements for dealing with product recall (often
safety related) through to dealing with reputational risk arising from a major incident/public inquiry.
Characteristics of Emergencies
All emergencies share a number of features and properties which are that they:
• All arise much faster than normal activities
• Can occur during normal and exceptional operating circumstances
• Have the potential to cause loss of life, significant injury and/or extensive loss of property
• Can give rise to unfamiliar or frightening experience
• Escalate rapidly
• Are caused by internal or external agents
• Prevent the operation of standard management processes
• Have unpredictable consequences.
An organisation has to develop procedures to deal with foreseeable incidents. Such incidents might
include:
• Fire
• Bomb threat
• Spillage of a hazardous chemical
• Release of a toxic gas
• Outbreak of disease
• Severe weather or flooding
• Multiple casualty accident
The foreseeable incidents will vary depending on many

factors such as the type of organisation and its location.
Emergency Procedure Arrangements

Having identified the foreseeable incidents, the organisation should make internal arrangements to deal
with each of them, should they occur. These arrangements should include:
Procedures to be followed: In the event of a fire, for example, normal practice is for workers to exit the
building using the signed escape routes and assemble at a designated place. In the event of a bomb threat
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then procedure is often the exact opposite: to go to a room inside the building, away from windows and
external walls.
Provision of suitable equipment: If there is a chemical spill, for example, absorbent granules or booms
might be used to contain the spill and PPE used to prevent harm to those involved in the containment
operation. In the event of a release of toxic gas, respiratory protective equipment may be needed.
Nomination of responsible staff: In a fire situation there is likely to be a need for fire wardens or
marshals, who walk through the building to check that everyone is aware of the fire evacuation. A fire
team may also be required, whose job will be to check the area where the fire is suspected to be.
Dealing with the media: It is foreseeable that some emergencies will attract media attention.
Procedures for handling the media should be developed and nominated staff trained in media handling
techniques (such as how to answer questions from newspaper and radio reporters).
Arrangements for contacting emergency services: whilst internal emergency arrangements must be
made by the organisation to deal with foreseeable incidents, these responses will normally also involve
contacting external emergency services for help. There should therefore be appropriate arrangements in
place:
• Communication equipment, e.g. land-line and mobile phones, satellite phones, or VHF
radio. The more remote the location, the more difficult communication becomes.
• Contact details, e.g. national and local emergency service numbers. This may involve
international medical evacuation as well.
• Responsible individuals with the necessary information and knowledge nominated to
make the call. In many instances the emergency services can provide a more effective
response if they are given critical information quickly.
Training and testing

Workers will only know what to do when these various emergencies occur if they have been provided
with information and training. Any nominated individuals will require additional training in their roles in
the emergency, and in the safe handling of any equipment (e.g. PPE) that they might have to use.
Members of the public may require information on emergency procedures, which might be provided in
the form of notices, or by means of public address system announcements.
Emergency procedures should be practised to ensure that people are familiar with the actions they might
be expected to take. In this way people’s responses become automatic. For example, fire evacuation drills
should be conducted routinely in all workplaces, and multiple casualty accident exercises should be
practised if they are a foreseeable event.
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First Aid Requirements

An employer has a duty to provide appropriate first-aid services for his employees. This is to allow an
immediate emergency medical response to foreseeable injuries that might occur in the workplace. Three
elements must be provided:
Facilities - an appropriate location where first-aid treatment can
be given.
Equipment - suitably stocked first-aid kits and other equipment
as necessary.
Personnel - staff with appropriate training to deliver first-aid
treatment.
The employer must notify staff of these first-aids arrangements

and, in particular, the identity of trained first aid personnel.
First Aid and First Aid Facilities

First Aiders
Where the assessment of the first aid needs of a particular area indicate that there is a significant risk of
injury, then one or more first aiders will need to be trained and appointed. The exact numbers that will
need to be appointed will depend on the level of risk.
Selection
The first aider will need to react correctly to a difficult situation and so should be selected to be capable
of coping with an emergency situation along with the ability to learn the skills necessary to carry out their
function. They should also have the physical ability to deal with the demands of the emergency procedures
they will have to undertake in the course of carrying out their duties.
Training
The first aider must possess certain minimum skills to carry out their duties adequately. To this end, the
first aider must attend and pass a course approved by the appropriate Government body. In some
workplaces, there may well be particular risks that require special treatments. Where this is the case, and
the first aider is capable of administering them, extra training should be provided in addition to the
standard training; however, this additional training does not need to be on an approved course.
Appointed Persons
It is recognized that there are some situations whereby the provision of a fully trained first aider may not
be required. Where there is not a need for a fully trained first aider, there is still a need for a person to be
appointed who has sufficient training and capability to take charge of the situation where a person is
injured or taken ill at work. In addition, there is a need for someone to look after the equipment and
facilities provided by the employer for first aid and re-stock where necessary. It is recommended that
these persons attend a training course that will teach them the basics:
• What to do in an emergency
• Cardio-pulmonary resuscitation (CPR)
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• First aid for the unconscious person and

• First aid for the wounded or bleeding
Assessing First Aid Requirements
The following factors to consider when deciding first-aid provision:

• General risk level of the workplace.
• Hazards present in the workplace.
• Accident history.
• Specific procedures required, e.g. some toxic materials have specific antidotes or first-aid
protocols.
• Presence of vulnerable persons.
• Number of workers in the workplace.
• Work patterns and shift systems of workers.
• Geographic location of the workplace.
Requirement of First Aid Boxes

The first aid kit is the mainstay of the first aid provision. There is a recommendation that it should be easily
accessible, the requirement in most regulations is that it should be provided. If the first aid kit is made
readily available by being wall mounted, it is necessary to ensure that it is adequately stocked at all times
and maintained in a condition fit for use. This requires a very regular checking regime, dependent on the
likely use or potential for abuse. An alternative is to issue a first aid kit to each first aider for them to keep
safe and ready for use. This may mean that it is not available for anyone other than the first aider to use
at a particular time. A further complication of a freely available first aid kit is the possibility that the person
self-treating themselves will not be able to render the best treatment and the high likelihood that the
relevant records will not be completed. The case should protect the contents from dirt and damage.
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First-Aid Equipment
As a minimum, one fully stocked first-aid kit might be provided for a small, low-risk workplace. In larger
workplaces multiple first-aid kits should be positioned at various locations in the workplace, as well as:
• Eye-wash stations.
• Emergency showers.
• Blankets.
• Splints.
• Resuscitation equipment.
• Stretchers.
• Wheelchairs.
• Other equipment, as required.
Maintaining Records and Providing Information

There is no particular legislative requirement to keep records of first aid. However, it is most useful for
the investigation of the cause of the need for first aid to have accurate records. This document could also
be used in the event of any dispute over the content and appropriateness of the treatment given or
whether the injured person refused treatment.
Requirements for a First Aid Record

The record should include:
• The date, time and location of the incident causing illness or injury
• The name of the injured or ill person and their normal job function
• The immediate cause of the injury or illness (if known)
• The details of any treatment given (and whether it was refused)
• The particulars of the actions taken after treatment, such as sent to hospital, returned to work or
similar
• The name and signature of the treated person (if possible) and name and signature of the first
aider.
Information for the Employees

The information to be given to employees would include:
• The location of the first aid equipment
• Any first aid facilities, such as first aid rooms or special equipment
• Who will provide first aid, i.e. the first aiders and the appointed persons
• How the first aid providers can be contacted, and
• Any special procedures that must be used
It is important that all employees know this information and understands it.
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Summary
This element has dealt with certain topics relating to the managing risk of a health and safety. In particular,
this element has:
• Defined safety culture (as the shared attitudes, values, beliefs and behaviours relating to health
and safety) and made a link between safety culture and health and safety performance.
• Outlined how safety culture might be assessed by looking at indicators such as accidents, ill health,
compliance and complaints.
• Discussed the three human factors that influence a worker’s behaviour: individual, job and
organisational factors.
• Looked in detail at some of the issues that must be dealt with in order to improve safety culture:
o Clear management commitment with visible leadership and appropriate disciplinary
measures.
o Competent staff (training, knowledge, experience and skills).
o Communication of safety information in verbal, written or graphic form through the use
of notice boards, posters, etc.
o Consultation.
o Training at appropriate times, e.g. induction training for new staff.
• Defined the terms “hazard” (something with the potential to cause harm), “risk” (the likelihood
that a hazard will cause harm in combination with the severity of outcome), and “risk assessment”
(a formalised process of identifying hazards, assessing the risk they generate and then either
eliminating or controlling the risk).
• Identified the aim of risk assessment - to ensure that hazards are eliminated or risk is minimised
by the correct application of relevant standards.
• Explained the five-step approach to risk assessment
• Explained the general hierarchy of preventive and protective measures, which rely on the correct
selection of technical, procedural and behavioural controls.
• Defined “safe systems of work” as formal procedures based on a systematic examination of work
equipment and processes to identify the hazards involved and define safe methods of working to
eliminate or minimise risk.
• Identified the role of both competent persons and workers in developing and documenting these
safe systems.
• Outlined permit-to-work systems as a way of formalising the control of high-risk activities.
• Explained the Issue, Receipt, Clearance and Cancellation sections typical of a permit-to-work.
• Discussed why an organisation must develop emergency procedures to deal with foreseeable
incidents, the internal arrangements that might be made, and the arrangements for contacting
the emergency services.
• Outlined the need for an employer to provide appropriate first-aid services for employees, to
include first-aid facilities, equipment and appropriately trained personnel.
• Considered the factors that must be assessed when deciding on adequate first-aid provision.
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ELEMENT 4: HEALTH AND SAFETY MONITORING AND MEASURING
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Learning outcomes
4.1 Outline the difference between active and reactive monitoring and the
purpose of active and reactive monitoring methods.
4.2 Explain the purpose of, and procedures for, investigating incidents and the
requirement for recording and reporting accidents, cases of work-related ill-
health and other occurrences.
4.3 Describe the purpose of, and procedures, for health and safety auditing.
4.4 Explain the purpose of, and procedures for, regular reviews of health and
safety performance.
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4.1 ACTIVE AND REACTIVE MONITORING

Monitoring of Performance Standards
This is an essential part of any health and safety programme. In any business or occupation there has to
be a system of checking that allows the stakeholders to measure how well they are doing. In health and
safety, this may consist of determining the failure of the system from safety statistics such as the
Reporting of Injuries, Diseases and Dangerous Occurrences as well as the first-aid cases reported and so
on. Similarly, investigations of accidents are a means of monitoring, since they determine why a system
has failed to prevent an accident. Monitoring may also include checking whether the system itself is
actually working or not. Monitoring describes a range of methods used by organisations to assess how
effectively they are controlling risks and how well they are developing a positive health and safety culture.
Companies should monitor their performance in managing health and safety in the same way that any
other aspect of business is monitored. The reasons for this are that it will enable the organisation to:
• Identify substandard Health and Safety practices
• Identify trends
• Compare actual performance against targets
• Benchmark
• Identify use and effectiveness of control measures
• Make decisions on suitable remedial measures
• Set priorities and establish realistic timescales
• Assess compliance with legal requirements
• Provide information to Board, committees etc.
Systematic Inspections
One popular way to actively monitor health and safety performance is to carry out systematic inspections.
These inspections can focus on the four Ps:
• Plant – machinery and vehicles, as well as any statutory
inspections and examinations.
• Premises – the workplace and the working environment.
• People – working methods and behaviour.
• Procedures – safe systems of work, method statements, permits-
to-work, etc.
An inspection might concentrate on one, several or all four of these
areas. Systematic inspection regimes usually exist in many different
forms within different workplaces.
For example, in a distribution warehouse there might be:
• A daily inspection regime, where forklift-truck drivers inspect their own vehicles at the start of
each shift – Plant.
• A weekly inspection regime, where supervisors check that forklift trucks are being driven safely –
People.
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• A monthly inspection regime, where the manager checks the entire warehouse for housekeeping
– Premises.
• A six-monthly thorough examination of each forklift truck by a competent engineer to ensure
safety of the load-bearing parts – Plant.
• An annual inspection regime for the storage racking to ensure structural integrity – Premises.
If this series of inspections is in place then it is possible to monitor the degree to which each is being
carried out successfully. In this way, two different types of active monitoring are being carried out: one
on the workplace directly (the four Ps), and one on the performance of those checks.
Role of safety inspections

A safety inspection involves the simple observation of a workplace and/ or the activities or equipment
within it. It is usually carried out by a manager, employee representative and Safety Advisor & typically
helped by the usage of a checklist, may be performed consistently & has the goal of recognizing hazards
& assessing the implementation & efficiency of control steps.
Limitations of Safety Inspections:

• It is only a snapshot in time
• Some hazards are not visible
• Some risks may not be present during the inspection and may occur later in the process
• Unsafe practices may not happen during the inspection if the employees know the inspection is
taking place
Types of Inspection
There are many types of inspection but the two most common are:
• General workplace inspections carried by management, health and safety representatives, safety
practitioners on a regular basis
• Statutory inspections which are required by the country’s legal system and is made by a
competent person. Most countries will have a requirement for cranes to be inspected every year.
Frequency of Inspections
Factors to take into account when determining the frequency of inspections:
• Statutory requirements may dictate an inspection frequency.
• The activities carried out and the level of risk.
• How well established the process is, e.g. new equipment may require more frequent monitoring.
• Risk assessments may suggest inspections as a control measure.
• Manufacturers may make recommendations in relation to inspection frequency and content.
• The presence of vulnerable workers, e.g. young and inexperienced people.
• Findings from previous inspections, which may suggest compliance concerns.
• Accident history and results of investigations.
• Enforcement authorities may recommend inspections.
• Whether workers have voiced concerns.
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Factors to be considered prior to the inspection are:

Certain factors must be considered before a workplace inspection system is introduced, including:
The type of inspection – inspections are carried out for a number of different reasons and they examine
different aspects of safety in the workplace. Is this a statutory inspection to ensure legal compliance? A
general workplace inspection that looks at plant and premises? A pre-start inspection for an item of
machinery?
The frequency of inspection – It is likely to be determined both by the type of inspection and the level
of risk. For example, a general workplace inspection might be conducted in an office once a month, but
once a week in a workshop environment to reflect the higher risk. The frequency of statutory inspections
is normally determined by the relevant law. Pre-start checks should usually be carried out at the start of
every shift.
Allocation of responsibilities – those responsible for ensuring that inspections take place should be
identified, as should the employees who will be carrying out the inspections.
The competence and objectivity of the inspector – an essential characteristic of whoever is conducting
the inspection; the person should have the necessary training, knowledge and experience. In some
instances, certification to a specific standard will be required. In other
situations all that are necessary is an understanding of the workplace,
health and safety principles, and a willingness to ask questions. An
inspector also needs to be impartial and objective in their approach,
even when looking at an area that they are very familiar with. Training
may be required for those who will be conducting inspections.
The use of checklists – these are valuable tools for use during the
inspection process. Checklists ensure that:
• All points are covered by the inspector.
• There is a consistency of approach to the process.
• There is a form of written record of the inspection and its
findings.
However, checklists do have their weaknesses, the most important being that an inspector might only
deal with the points on the checklist and ignore other issues that exist in the workplace but are not
included on the checklist.
Action planning for problems found – so that appropriate action is taken following the inspection to
resolve issues in a timely manner. An inspection system that identifies a problem or issue but then does
not result in action being taken is a flawed system. There must be clear identification of the:
• Corrective action required.
• Persons responsible for taking that action.
• Priorities/timescales.
The inspection system can be documented and formalised once procedures based on all these factors
have been agreed upon.
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Inspection Checklists
In many situations the use of a pre-prepared checklist of topics may be useful as a memory aid and to
prompt the inspector into examining the appropriate areas. A checklist might include various points under
headings such as:
• Housekeeping
• Electrical Safety
• Provision and use of PPE
• Utilization and storage of Hazardous Substances
• Manual Handling
• Traffic Routes
• Emergency Equipment
• Welfare Facilities
Use of checklists
Strengths Weaknesses
• Enables prior preparation and planning • Over reliance on checklists may result in a
• Inspection is more structured and blinkered approach by inspectors
systematic • Checklist may not be reviewed/updated to
• Reduces the chance of significant issues account for changes
being overlooked • Inspections might become routine with no
• Provides immediate record of finding follow-up questions being asked
• Ensures a consistent approach • No scope for peripheral issues to be
• Provides easy method for comparison and considered
audit
Allocation of Responsibilities & Priorities for Action

It depends on the level of risk and any statutory inspection requirement. Directors may be expected to
examine the premises formally at an annual audit, whereas departmental supervisors may be supposed
to carry out inspection every week. Senior managers should regularly monitor the health and safety plan
to ensure that objectives are being met and to make any changes to the plan as necessary. Data from
reactive monitoring should be considered by senior managers at least once a month. In most organizations
serious events would be closely monitored as they happen.
Report Writing
There are three main aims to the writing of reports and they are all about proper communication. The
purpose of the report must be to:
• Convey the message to the reader
• Clearly present the message and arguments, so that they are easy to understand
• Persuade the reader to take actions by making the arguments and conclusions convincing.
Five important factors which will help to make reports useful are:
• Structure
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• Presentation of arguments
• Style
• Presentation of data’s
• Report formatting & presentation
Inspection reports should not only be a list of things that are wrong. Inspection reports should:
• List the good points as well as the hazards. This will make the receiver feel that the statement is
fair.
• Identify actions to eliminate or control hazards and also to prevent them from occurring again.
• Prioritise the measures to be taken and set time limits and specify responsibilities to carry out the
actions and also set review dates.
• Be structured, summarising the key issues, and placing emphasis on the need for action and kept
as short as possible.
The Target Audience

Once the purpose of the report has been determined, the next most important consideration is the
intended target audience. The reasons for needing to know the target audience are mainly concerned
with the way that the report is to be written. For example, the considerations will include:
• Style - how formal or otherwise the report needs to be
• Language - whether it is written for an informed reader or not
• Function
The Content of a Report

Most reports should have a common general structure which is most likely to comprise of (in this order):
• Administration information
• Introduction
• Summary
• The body of the report
• Conclusions and recommendations
• Appendices
Sampling, Surveys and Tours

Safety Sampling
It is an observation/inspection activity where a representative sample of work tasks, areas, equipment
and/or people are studied to check health and safety conditions and practices e.g. to see the use of
hearing protection. It notes compliances and non-compliances which are counted to provide a score of
the overall effectiveness of safety performance. Sampling is where only a partial amount of a particular
area is looked at to establish an indication of the standard of compliance as a whole. For example a
random inspection of some pieces of lifting tackle could indicate the general standard.
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Safety Survey
A safety survey is a detailed examination of one particular issue or topic, e.g. a detailed examination of
the provision of emergency lighting within a building. The word “survey” can be used to refer to various
types of detailed examination:
• Environmental monitoring is a form of safety survey, e.g. a noise assessment usually requires that
a noise survey is carried out by a competent person using a sound-level meter.
• A structural survey is a detailed examination of the structural integrity of a building or item.
• A staff survey is an examination of workers’ opinions, usually collected by asking staff to fill in a
questionnaire.
All of these types of survey might be used to actively monitor safety.
Safety Tour
A safety tour is a high-profile inspection of a workplace carried out by a group or team, including
managers. The tour may be formal, but can also be informal - a walk around looking at points of interest
(usually unscheduled). The group carrying out the tour should include managers from the area being
inspected and possibly worker representatives, safety specialists, occupational health specialists,
engineers and workers from the area. One of the objectives of the tour is to raise the profile of health and
safety and to demonstrate management interest and commitment. Safety observation tours can also be
used to monitor the way that workers are behaving – these are known as behavioural observations. Once
behaviours are observed, feedback (positive and negative) is given to the worker so that the organisation
and operator can learn from the process..
Reactive Monitoring Methods

The means of obtaining a picture of the current state of the organisation is by reviewing what has already
happened, otherwise known as reactive measures. The main means of obtaining this information is by
reviewing information recorded as part of the health and safety management system.
There are a range of reactive measures that can be utilised for the purpose of monitoring. These include
reviewing data relating to:
• Enforcement actions
• Injuries or ill health, including sickness/absence
• Complaints from workers
• Damage to property, goods or equipment
• Dangerous occurrences
• Near misses
Reactive monitoring involves:

• Investigating accident/incident
• Creating and compiling data and statistics
• Identification of immediate and underlying causes and preparation of report
Accident Statistics
Statistics can show trends, highlight problem departments and activities, show demographics of accidents
for example, the total number of accidents in a year broken down into various categories or severity of
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injury, type of accident, job titles of persons suffering accidents, accidents in each department or location,
etc. depending on the requirements of the company. It also allows for comparisons between
organisations/units.
Limitations of accident statistics

Some problems with Accident, injury/ill health statistics:
• Incidents may get unreported, due to a poor reporting culture.
• An event resulting in an injury could be a matter of chance, and it may not always indicate that
the hazards are well controlled.
• Potential severity of an event may not be assessed by injury rates.
• There is enough evidence to show there is not necessarily a relationship between ‘occupational’
injury statistics (e.g. slips, trip and falls) and control of the main accident hazards (e.g. loss of
containment of toxic or flammable material).
• A sense of complacency could set in, when there is a low level of injury rates.
• Injury statistics reflect outcomes not causes.
Lessons Learnt
Learning lessons from incidents and accidents including near misses can avoid costly accidents. (The
Clapham Junction rail crash and the Herald of Capitalism ferry capsize were both examples of scenarios
where management had cannot recognise, and act upon, previous failings in the system). An appreciation
of how and why things went wrong and an understanding of ways in which people can be exposed to
conditions or substances that may have some adverse ill-effect on their health and safety. Identifying
deficiencies in risk control management, which will enable one to improve the control/management of
risk in the future. By sharing such information, the other parts of the organisations or similar organisations
shall reap benefits, by implementing the lessons learnt in their safety programs.
Difference between Leading and Lagging Indicators

Lagging indicators measure a company’s incidents in the form of past accident statistics. Examples include
lost workdays, the number of injuries per year, number of specific illnesses and workers compensation
costs. The major drawback to only using lagging indicators of safety performance is that they tell you how
many people got hurt and how badly, but not how well your organisation is doing at preventing incidents
and accidents.
A leading indicator is a measure preceding or indicating a future event used to drive and measure activities
carried out to prevent and control injury. Examples include health & safety training, clear policies &
procedures, safety audits. Leading indicators are focused on future safety performance and continuous
improvement. These measures are proactive in nature and report what employees are doing on a regular
basis to prevent injuries.
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4.2 INVESTIGATING INCIDENTS

Role and Need for Investigation
Incidents and accidents, whether they trigger damage to property or more seriously injury and/or ill-
health to individuals, ought to be appropriately and completely investigated to permit an organization to
take the proper action to prevent its recurrence. Incident investigation is critical in improving an
organisations health and safety performance. Incident investigation is considered to be part of a reactive
monitoring system because it is triggered after an event. The reasons for carrying out accident, incident
and ill-health investigations fall into several categories, each having their own underlying reasons:
• The prevention of future events – prevent a
recurrence and the elimination of cause(s)
• Demonstration of concerns relating to
workers health and safety
• Prevent business losses
• Increase employee morale
• Identify management system weaknesses
• Conformance to Occupational Health and
Safety Management System requirements
• Monitoring and review of company
performance
• Risk Assessment reviews and revisions
• Accident and ill-health data review
• The collation of accident and ill-health
information in a bid to establish trends or compare against ‘bench-marks’
• Defending civil claims for compensation or defending a criminal action
There are immediate and longer terms actions management should take after an accident such as:
• First Aid to injured party
• Calling medical assistance if necessary
• Make area safe
• Isolation of the accident scene
• Implement or initiate emergency plans
• Report to relevant enforcing authority if necessary
• Identification of witnesses
• Setting up investigation team
• Full Investigation to determine root cause
• Making recommendations
• Performing corrective action
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Factors to Be Considered Before Undertaking the Investigation

Before the investigation is commissioned, the depth of the investigation and the composition of the
investigation team must be considered, beforehand. Make sure that the accident scene is left untouched.
All related documents must be collated and identify the witnesses and people who could be interviewed
for gathering evidences. Check that all legal reporting requirements have been met. Identify all the
equipment that would be required based on an assessment done. The report style and target audience
must also be defined before the investigation starts.
Investigation Team
Depending on the level and details of the investigation, the team members could vary. For serious
incidents where there are high likelihood of happening again and the consequences could be very severe,
there is need to have a cross-functional team, headed by a
senior manager from a different department to be
involved. The following personnel could be involved in a
detailed incident investigation.
• Line Manager: has knowledge of the processes
involved
• Supervisor: also becomes aware of the process
• Safety Representative: has legal right
• Safety Practitioner: to advice on health and safety
implications
• Engineer: to provide advice on technical matters
• Senior Manager from different department: unbiased
Equipment Needed
Equipment’s must be readily available and accessible during emergencies. Valuable evidence can be lost
if, for example, the camera cannot be found. The following equipment may be required:
• Camera
• Writing materials
• Paper or investigation forms
• Measuring tape
• Area plans
• Possibly a checklist
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The Incident Investigation Procedure

When investigating an accident or other types of incident there are some basic principles and procedures
that can be used:
Step 1: Gathering the information

Gathering and recording information will help to establish the
facts. Evidence is quickly lost at the scene, so it is essential to
preserve the scene and take draw sketches, photographs, and
take measurements prior to any clearing-up that may follow the
accident. Where ill-health is concerned, specific measurements
such as noise levels or radiation levels may be required. It is
important to keep an open mind and not to dismiss any
evidence at this stage. Questions to be asked at this time can
include:
• What activities were being performed at the time?
• Was there anything uncommon or various about the working conditions?
• Were there adequate safe working treatments and were they followed?
• Was the risk known? If so why wasn’t it managed?
• Did the organisation and plan of the work influence the accident?
• Was upkeep and cleaning sufficient?
• Was the safety equipment sufficient?
Factors to be considered:
• Materials
• Equipment
• Environment
• People
• Other Factors
It is important to examine any contradictory evidence carefully and to not dismiss any fact that does not
fit in with the rest. An understanding of the system of work involved is key to the investigation, e.g. is the
nature of the work routine, sporadic or incidental? In particular cases it may be necessary for plant and
equipment, machinery, tools are to be examined by a specialist engineer.
Witness interview techniques

• Not prompting or leading witnesses
• Asking ‘open’ questions (e.g. how, who, what, when, why) such as ‘Can you describe the function
of the machine?’, rather than ‘closed’ questions, such as ‘Is the machine a lathe?’, to which the
person can answer only yes or no
• Not asking long, complicated questions; breaking them up into smaller ones
• Verifying the facts by asking closed questions
• Not making quick judgements about the information.
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Review of Documents
Information gathered at the scene may be backed up by documentary evidence such as:
• Risk assessments
• Safe systems of work
• Previous incident and accident records
• Training records
• Maintenance records
• Equipment instructions
• Work place monitoring, e.g. noise, dust levels
• Supervision rotas
• Inspection reports
• Pre-start equipment checks, e.g. guards, fork-lift trucks, etc.
Step 2: Analysing the information

All the gathered facts and data will be examined to determine what happened and why. Analysis should
be systematic, considering the ‘domino theory’, in order to identify:
Immediate/direct causes
The immediate cause of an accident is the unplanned, unforeseen event that has caused the
accident/incident. For example a fork truck may overturn because it is overloaded so the immediate cause
is overloading.
• Unsafe acts and unsafe conditions contribute to immediate causes of accidents.
• Unsafe Conditions: Examples: trailing cables across a walkway creating a trip hazard, incorrect use
of guards.
• Unsafe Acts: Not wearing PPE, horseplay, removing guards. Managers should ensure that workers
receive adequate information, training, instructions and supervision to ensure that procedures
are being followed.
Root causes
The root cause could be considered as the failure of systems and procedures under management’s control
such as no or poor risk assessment procedures, lack of supervision, no defect reporting procedures etc.
There may well be more than one root cause of an accident. For example there could be a failure in a
system but it may also be found that employees have not been trained and there was a lack of supervision.
Individual and Job Factors (Root and Underlying Causes)

These may be such things as:
• Unclear lines of responsibility or accountability
• Inadequate supervision
• Lack of information, instruction, training or ineffective communication.
These may include factors relating to Materials, Equipment, Environment, People, Organisation and
Management. An essential part of accident investigation is to compare the standard of control with the
standards set out in the risk assessment. Was the risk assessment suitable and sufficient and, if so, why
did the accident occur?
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Step 3: Identifying risk control measures

A systematic approach to Step 2 will enable possible solutions to be named. The analysis may have
identified that there were:
• No control measures in place or if so not used
• Control measures in place that failed
• Combinations of the above.
All possible risk control measure should be evaluated for:
• Their ability to prevent recurrences
• Whether they are practical
• Whether they will be used
• Whether they will remain valid.
Step 4: The action plan and its implementation

Senior management should be involved in corrective actions because they have authority to make
decisions and act on recommendations. Consultation with health and safety representatives will be
valuable in deciding what action to take. The highest priority risk control measures should be
implemented first. If the risk is high it will be important to act immediately or put short-term controls in
place. If risks are not high and immediate, control measures can be brought into the action as per the
priority over the short, medium and long-term. A particular senior person, preferably a director, partner
or senior manager, should then be made responsible for ensuring the action plan as a whole is put in
place.
Incident Investigation Report

The contents of a typical incident investigation report may include:
• Date and time of the incident.
• Location of the incident.
• Details of the injured person/persons involved (name, role, and work history).
• Details of injury sustained.
• Description of the activity being carried out at the time.
• Drawings or photographs used to convey information on the scene.
• Immediate and underlying/root causes of the incident.
• Assessment of any breaches of legislation.
• Details of witnesses and witness statements.
• Recommended corrective action, with suggested costs, responsibilities and timescales.
• Estimation of the cost implications for the organisation.
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External Reporting
The ILO needs each federal government to nominate a competent authority or authorities, as applicable,
which should, monitor the health and safety conditions of all the businesses/organisations and create,
implement and periodically review a significant national policy and concepts on the recording, notification
and investigation of:
• Occupational accidents and diseases
• Commuting accidents, dangerous occurrences and incidents
• The collecting, analysis and publication of statistics on such accidents, diseases and incidents.
Most of the countries have their own laws, regulations or other methods consistent with local conditions
and practice which require the recording and reporting of events such as occupational accidents,
occupational diseases, commuting accidents, dangerous occurrences and incidents. Not all accidents are
reportable to Enforcing Authorities, but to ensure accurate statistics all incidents and accidents should be
reported internally.
Typical Examples of Reportable Events
There are generally three areas to be reported to government bodies.

Injuries • Death
• Fractures
• Amputations etc.
Diseases • Dermatitis
• Asthma
• Lung diseases etc.
Dangerous Occurrences (High potential near • Collapse of cranes
miss) • Contact with overhead power lines
• Electrical fault causing fire or explosion
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4.3 HEALTH AND SAFETY AUDITING

Meaning of Health and Safety Audit
A health and safety audit can be defined as systematic, independent and documented process for
obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria
are fulfilled.
Scope and Purpose of Auditing Management System

The purpose of audit is to verify the compliance with set standards, efficiency, effectiveness and reliability
of health and safety management system of an organisation. It ensures an organisation’s safety
management system is being effectively implemented to manage the risk of accidents and ill health
occurring in the workplace. An audit is always carried out on a recognized protocol, or on an existing safe
system of work. If it is already known that the safe system in place is weak or lacking in areas, then an
audit is not the tool to use. Instead a safety survey would be more appropriate as it focuses on the weak
areas of the system until they are resolved. Only when management feels comfortable that a safe system
is in place, is an audit worthwhile. The audits help in examining and assessing the system and its
implementation to determine if and where the system is failing, if at all.
Distinctions between Audit and Inspections

Audit is an independent, extensive review and evaluation of records and activities to examine the
adequacy of system controls, to make sure compliance with operational procedures and established
policies, and to suggest necessary modifications in procedures, policies, or controls. A safety inspection
involves the simple observation of a work environment and/or the activities or equipment within it. A
safety inspection, usually carried out by a supervisor, employee representative and Safety Advisor and
typically assisted by the use of a list, may be performed routinely. It has the goal of recognizing hazards &
evaluating the usage & effectiveness of control steps.
Types of Audit
Product audit
An examination of a particular product or service (hardware, processed material, software) to evaluate
whether it conforms to requirements
Process audit
A verification that processes are working within established limits - Check the adequacy and effectiveness
of the process controls established by procedures, work instructions, flowcharts, and training and process
specifications
System audit
An audit conducted on a management system.
• A quality management system audit evaluates an existing quality program to determine its
conformance to company policies, contract commitments, and regulatory requirements.
• Similarly, an environmental system audit examines an environmental management system, a food
safety system audit examines a food safety management system, and safety system audits examine
the safety management system.
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A first-party audit is performed within an organization to measure its strengths and weaknesses against
its own procedures or methods and/or against external standards adopted by (voluntary) or imposed on
(mandatory) the organization. A first-party audit is an internal audit conducted by auditors who are
employed by the organization being audited but who have no vested interest in the audit results of the
area being audited.
A second-party audit is an external audit performed on a supplier by a customer or by a contracted
organization on behalf of a customer. A contract is in place, and the goods or services are being, or will
be, delivered. Second-party audits are subject to the rules of contract law, as they are providing
contractual direction from the customer to the supplier.
A third-party audit is performed by an audit organization independent of the customer-supplier
relationship and is free of any conflict of interest. Independence of the audit organization is a key
component of a third-party audit. Third-party audits may result in certification, registration, recognition,
an award, license approval, a citation, a fine, or a penalty issued by the third-party organization or an
interested party.
The Audit Stages

Different audits are run in slightly different ways. What follows is a fairly typical audit process.
Pre-Audit Preparations
Before the audit starts the following should be defined:
• The scope of the audit – will it cover just health and safety, or environmental management as well?
• The area of the audit – one department, one whole site, all sites?
• The extent of the audit – fully comprehensive (which may take weeks), or more selective?
• Who will be required – auditors will need to be accompanied during their visit and will need access
to managers and workers for information-gathering, therefore those required for interviews should
be notified in advance.
• Information-gathering – it is common practice for auditors to ask for copies of relevant
documentation before starting the audit so that they can prepare.
The organisation will have to ensure that the auditor is competent, i.e. that they have the relevant
qualifications, experience and knowledge to do the job well. This can apply to both internal and external
auditors. If internal staffs are used as auditors sufficient time and resources will have to be allocated so
that they can be trained and developed in that role. All of these elements of the audit process require the
allocation of sufficient management time and resources.
During the Audit

Auditors use three methods to gather factual information:
• Reference to paperwork – the documents and records that indicate what should be happening and
what has happened relevant to a particular issue.
• Interviews – word-of-mouth evidence given by managers and workers.
• Direct observation – of the workplace, equipment, activities and behaviour.
Auditors will sometimes seek to collect evidence so that their findings cannot be refuted; this can be done
by copying paperwork, taking photographs and having a witness to corroborate word-of-mouth evidence.
An auditor’s favourite phrases are: “Show me” and “Can you prove it?”
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The Auditors may request documents relative to health and safety to be provided prior to the audit or for
examination during the audit. These documents will include
• Safety policy • Health surveillance records
• Risk assessment procedures • Safety committee minutes etc.
• Safety monitoring procedures • Training records
• Maintenance records • Statutory inspections
• Accident and incident reports • Previous audit reports
At the End of the Audit

Verbal feedback is usually provided at the end of an audit; for some audits this will involve a presentation
to the management team. This verbal feedback will be followed by a written report. The report will make
recommendations for improvement and indicate priorities and timescales.
Responsibilities for Audits

Management is responsible to ensure that safety audits are conducted regularly and that everyone will
participate in the process. The audit team may be just one person or a group of individuals. The number
of auditors involved depends upon the size of the organisation and the audit objectives. Auditors need to
be competent and this includes having technical ability, knowledge and experience of auditing,
interpersonal, report writing and presentation skills. They may be external and internal auditors
Advantages and Disadvantages of External and Internal Audits
Internal Audit’s Advantages Internal Audit’s Disadvantages

• A lower cost than external audit and • The internal team may be under pressure
easier to arrange from management to get the audit
• Recommendations and actions are more completed quickly
likely to be accepted and implemented • They may not have any auditing
• Internal team is already familiar with the experience or training
organisation and its strengths and • Their work load may be increased by the
weaknesses additional responsibilities of the audit,
• They will have knowledge of the which may affect judgments
company’s existing precautions and • They may not be up to date with current
hazards legislation
• Employees may not feel threatened • Employees could be influenced by internal
during interviews relationships and pressures
External Audit’s Advantages External Audit’s Disadvantages

• Will be independent and not be biased • The auditors may produce unrealistic
and will see performance as it is targets
• Can be costly
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• Auditors will be impartial and will have • A lot of planning is required to familiarise
much experience in different work themselves with the company
practices • It may be difficult for the external team to
• The external auditors will not be inhibited get information from employees.
by criticism Employees may feel more threatened
• The audits may be able to find solutions to
problems that the organisation has not
been able to solve
Audit Action Plan

Once the findings have been formulated it is necessary to prioritise them so that the management will
know which ones to address first and which last.
• First priority - High inherent risk and a weak system in place, e.g. fire detection equipment is
broken and no system is in place to replace it.
• Second priority - High inherent risk and a robust system in place, e.g. fire detection equipment
is broken but there is a system in place to pick this up. Work on the equipment has been approved
but has not yet been completed.
• Third priority - Low inherent risk and a weak system in place, e.g. extract ventilation on
degreasing bath is not entirely functional and there is
no testing schedule.
• Fourth priority - Low inherent risk and a robust
system in place, e.g. extract ventilation on degreasing
bath not fully functional but a testing schedule is in
place to check the equipment next month.
The Organisation should take action to feed the information

back into management system and to implement any action
required. Action plans may be draw up to ensure that the
implementation of measures required will be completed to a suitable time scale and that all relevant
members of the workforce are aware of what is needed of them.
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4.4 REVIEW OF HEALTH AND SAFETY PERFORMANCE

Purpose of Reviewing Health and Safety Performance
Measuring and reviewing performance is an essential step in the management of health and safety. It
shows how the OSH management system functions and recognizes any weak points that need
improvement, and how well you are going to achieving your mentioned health and wellness goals and
goals. Evaluating the health and safety performance enables Organisations to:
• Degree of compliance against identified performance standards
• Confirming if health and safety policy is relevant and valid.
• Check adequacy of the arrangements for managing the health and
safety
• Identifies strengths, weaknesses and areas for improvement.
• Checking if objectives and targets are achieved
• Identify the efficient use of resources and the need to allocate more
• Managing changes in the organisation effectively, by assessing its impact
on health and safety and allow management to make appropriate
provisions to deal with the changes.
Review Team
The involvement of top management is critical at the planning and review stage of management system,
as the key decisions are made at these two stages. Managers, supervisors, health and safety advisors,
employee representatives and even someone independent, perhaps from another business area, could
add value to the process. All participating individuals must be trained and be competent to make
informed judgements about monitoring performance. Employees should also be encouraged to inspect
their own workplace frequently and to report any safety problems to their supervisors. It must be
emphasised that all levels of management have a role to play in the review process.
Scheduling Reviews
Review schedule/frequency will depend upon the risk profile of the organisation as well as statutory
requirement. As a general guide, senior management should examine the premises at annual audits.
Supervisors may conduct weekly inspections of activities to identify any unsafe conditions and unsafe acts.
Health and Safety advisors and employee representatives may carry out weekly inspections, or more
frequently depending on risks and activities, in particular with non-routine activities. More frequent
monitoring is necessary if the activities are high risks with serious consequences.
Managing Change and Continual Improvement

Reviewing provides opportunities for management to check if the health and safety environment in the
business has changed. This enables management to stop doing things that are no longer necessary while
allowing them to respond to new risks. It is widely recognised that engineered changes, if not properly
considered and controlled, can have potentially significant safety implications. Many of the potential
adverse effects on safety of organisational change can be avoided if consideration is given to the effects
of changes before they take place. In recent years, the obvious needs to reduce costs and improve
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efficiency have led many companies (including smaller organisations) to consider how they might improve
work processes and change organisational structures.
Factors to Consider for Review

Reviewing health and safety performance relies to a great extent on having good-quality, reliable
information about current and past performance, which usually depends on data gathering. One of the
first steps in the review process is gathering this information and data. There is a wide range of topics for
consideration in the review including:
Legal compliance – the organisation must be aware of any legal compliance issues, and therefore the
review should include a report (possibly from the safety advisor) on any outstanding issues. An
organisation may also have specific internal requirements, e.g. higher standards imposed from a parent
organisation, which should also be considered in this section.
Accident and incident data – clearly, the number and type of injury accidents, property damage
accidents, lost-time accidents, reportable events, etc. should be reviewed as a reactive measure of health
and safety performance, together with the review of actions arising from the investigations, to ensure
that these are closed out.
Findings of safety surveys, tours and sampling and workplace or statutory inspections – may
provide evidence of conformance or non-conformance to standards.
Absence and sickness data – information concerning work-related ill health, from absence monitoring
records, or perhaps the occupational health department (if one exists) should be reviewed in order to
determine if there are patterns of absence.
Audit reports – findings of internal and external audits should be reviewed, which may present detailed
and comprehensive information on the safety management system and its effectiveness.
Monitoring data/records/reports – the findings of monitoring activities should be considered. For
example, if a noise-exposure monitoring activity was carried out a summary of the findings should be
reviewed.
External communications and complaints – there are various potential external sources of
communication, from regulators to people who live near your premises. If complaints or issues are raised
these should be considered so that action can be taken, as required.
Consultation – the organisation should be consulting with the workforce on health and safety matters,
so a summary of issues raised could be considered. It may be appropriate to highlight major issues rather
than the minor details, which should have been addressed at the consultation stage.
Objectives met – the review should consider the organisation’s progress against stated health and safety
objectives. If the plan states that: “Manual handling training will be rolled out to all employees by the end
of July”, monitoring progress of this objective in the regular reviews will keep it on track. The annual
review should consider which of the objectives were achieved in the year.
Actions from previous reviews – actions will arise at each review, and progress must be monitored to
ensure they are closed out.
Legal and best-practice developments – there may be new legal developments that will impact the
organisation in the future, and advance warning of this will enable the organisation to develop a plan to
achieve compliance in time to meet legal deadlines.
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Maintenance of Records of Management Review

Following the review, a detailed written report should be produced and the results presented to the Board
and the organisations senior management. The report should consist of a summary of the findings,
highlighting the most significant problems, detailing the compliances with and the failures of the safety
management systems, and recommendations for enhancement.
Reporting On Health and Safety Performance

Organisations must have a mechanism and established system to report on safety performance and to
ensure that legal compliance is achieved and maintained. There should also be a process to report serious
incidents immediately. This will allow management take action to tackle poor performance as well as
establishing key performance indicators to help meet health and safety objectives.
Feeding Into Action and Development Plans as Part of Continuous

Improvement
The organisation should then take action to feed the information back into the management system and
to implement the action required. Action plans shall be prepared to ensure that the implementation of
measures required will be completed in a suitable time scale and that all relevant members of the
workforce are aware of what is needed of them.
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Summary
This element has considered the measuring, audit and review aspect of health and safety management
systems. In particular, it has:
• Differentiated between active monitoring (checking to ensure that standards are met before any
untoward event takes place) and reactive monitoring (measuring safety performance by
reference to accidents, incidents and ill-health that have already occurred).
• Outlined some active monitoring methods (inspections, sampling, surveys and tours) and
explained the factors that must be considered when setting up an inspection system.
• Considered how to write an effective inspection report.
• Considered the reasons for accident investigation, perhaps the most important of which is to
discover the causes so that corrective action can be taken to prevent similar incidents from
happening again.
• Described a basic investigation procedure.
• Outlined the arrangements that should be made for the internal reporting of all work-related
incidents and the records of work-related injuries that should be kept.
• Defined the types of incident that have to be reported to external agencies, such as fatalities,
major injuries, occupational diseases and dangerous occurrences.
• Defined auditing as the systematic, objective, critical evaluation of an organisation’s health and
safety management system.
• Outlined the steps of an audit process, considered the types of information that might be used as
evidence, and identified the strengths and weaknesses of external and internal auditing.
• Outlined the part that health and safety performance review has to play in ensuring continuous
improvement.
• Identified the information sources that might be used in reviewing performance and the role that
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Unit IG2:
Risk Assessment
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ELEMENT 5: PHYSICAL AND PSYCHOLOGICAL HEALTH
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Learning outcomes
5.1 Outline the health effects associated with exposure to noise and appropriate
control measures.
5.2 Outline the health effects associated with exposure to vibration and
appropriate control measures.
5.3 Outline the health effects associated with ionising and non-ionising
radiation and appropriate control measures.
5.4 Outline the causes of work-related mental ill-health and how the condition
can be managed.
5.5 Outline the risk factors and appropriate controls for violence at work.
5.6 Outline the effects of substance abuse on health and safety at work and
control measures to reduce such risks.
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5.1 NOISE
Anatomy of Ear
The ear consists of three essential parts – being the outer, middle and inner ear. Each part of the ear
serves a particular purpose in the task of detecting and interpreting sound.
• The Outer Ear - The outer ear helps to collect and channel sound to the middle ear.
• The Middle Ear - The middle ear assists to change the energy of an acoustic wave into the internal
vibrations of the bone structure of the middle ear and ultimately alter these vibrations into a
compressional wave in the inner ear.
• The Inner Ear - The inner ear serves to change the energy of a compressional wave within the
inner ear fluid into nerve impulses which can be transmitted to the brain.
Health Effects of Noise

When people are exposed to excessively loud noise, the hearing mechanism itself is damaged. The hearing
mechanism transmits noise from the outside environment through the outer and middle ear to the inner
ear (the transmission route is ear canal; eardrum; hammer; anvil; stirrup; cochlea). Microscopically small
sensory hairs in the inner ear then detect the noise and send nerve impulses to the brain. Exposure to
excessively loud noise disturbs these microscopically small hairs.
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One-off exposures to high noise levels (e.g. four hours of work in a high-noise area) will probably cause a
temporary loss of hearing sensitivity (called ‘temporary threshold shift’) and temporary ringing in the ears
(tinnitus). The microscopically small hairs will have been disturbed, but not damaged beyond repair.
Repeated exposures result in permanent threshold shift – irreparable damage – because the sensory hairs
are parts of nerve cells that do not regenerate. This is noise-induced hearing loss.
This hearing loss does not normally occur quickly but, over years, as noise exposure continues. The
damage is progressive; once it starts any further exposure to excessive noise will result in further damage.
There are many health and safety issues associated with being exposed to noise in the workplace.
Physical effects include:
• Temporary reduction in hearing sensitivity as a result of short-duration exposure to excessively
loud noise.
• Temporary ringing in the ears as a result of short duration exposure to excessively loud noise.
• Noise-induced hearing loss (NIHL) – permanent loss of hearing as a result of repeated exposure
to excessively loud noise.
• Tinnitus – persistent ringing in the ears as a result of repeated exposure to excessively loud noise.
• Inability to hear the following as a result of background noise:
o Hazards such as vehicles.
o Alarms and warning sirens.
o Conversation and spoken instructions.
Psychological effects include:

• Stress – caused by irritating nuisance/background noise.
• Difficulty concentrating and an increase in errors – caused by nuisance/background noise.
Perhaps the most serious effect is noise-induced hearing loss (or industrial deafness). This is usually
caused by long term, repeated exposure to excessively loud noise (though it can be caused by one-off
exposure to extremely loud noise).
Noise Related Terms

• Noise - Noise is defined as unwanted sound. The ‘quality’ of the noise is also conditioned by the
general level of background noise, which is often itself conditioned by the time of day.
• Sound Pressure - Pure noise energy is a unit of pressure measured in Pascal’s (Pa). Atmospheric
pressure has an atypical value of 100,000 Pa, whereas normal sound pressures detectable by the
human ear are a small fraction of a Pascal (as low as 0.00002 Pa at some frequencies).
• Intensity - a number of pressure changes in the noise determine its amplitude and intensity –
this being perceived by the listener as loudness. When measuring sound, therefore, we are not so
much interested in the actual magnitude of the pressure; we are really interested in the
magnitude of variations in pressure. To this end, we use a ratio based on the lowest detectable
pressure change or the threshold of hearing.
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• Frequency - Frequency is perceived by the listener as pitch or tone. It is measured in cycles per
second (Hz). The human hearing mechanism does have a finite range of perception of pitch and
this varies between 20 Hz to 20KHz (20 kHz), but it is most sensitive at around 4,000 Hz – this
being the frequency of human speech.
• The Decibel Scale - Although noise is measured as sound pressure, the units of pressure are not
used in most circumstances. This is because the range of pressures which could be measured
varies from 0.00002 up to 200 Pascals. It was decided that such a range was unwieldy and difficult
to accommodate on a single scale. The range was compressed by taking logarithms, and it was
agreed that the new logarithmic unit would be called the decibel, or dB for short. The decibel level
is usually taken to mean sound pressure although it is used in general parlance to describe noise
intensity and loudness.
• dB(A) – ‘A’ Weighting is basic weighting of the audible frequencies developed to show the
response of the human ear to noise. At low and high frequencies, the human ear is not really
delicate, however, in between 500 Hz and 6 kHz, the ear is much more delicate. The ‘A’ weighting
filter covers the full frequency variety of 20 Hz to 20 kHz, however the shape estimates to the
frequency level of sensitivity of the human ear. The A-weighted value of a sound source is an
approximation to how the human ear perceives the sound.
• dB(C) - ‘C’ Weighting is a standard weighting of the audible frequencies commonly used for the
measurement of Peak Sound Pressure level. Measurements made using ‘C’ weighting are usually
shown with dB(C) to demonstrate that the information is ‘C’ weighted decibels or, for example,
as LCeq, LCPeak, LCE, etc. where the C shows the use of ‘C’ Weighting.
• Action Level - Internationally there are differing levels of noise at which some countries deem to
consider non-harmful for an average 8-hour exposure. You need to establish what this level is at
your workplace based on their national / local legislation. The level of noise and/or duration of
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exposure should not exceed the limits established by the competent authority or other
internationally recognised standards.
Noise Assessments
Because there are levels of noise that can cause damage to the hearing if exposure lasts for a particular
period of time, employers must be able to protect their workers from such dangerous levels.
In order to do this, the employer must know what the actual noise level in the workplace is and how long
employees are exposed to it. There must be an assessment of both the noise level and time of exposure;
a reasonable assessment can then be made of the
likelihood of employees suffering hearing damage. With
this information, the employer can go on to put suitable
measures in place to control exposure to noise.
Where a noise assessment is needed, some form of noise

measurement will probably have to be carried out. Before
this is done, information has to be obtained from the
workplace (e.g. about the noise sources in the workplace
and shift patterns). This background information can then
be used to target the measurement and can help in the
interpretation of results.
Different types of noise meter that can be used to

undertake noise measurement include:
• Simple sound level meters – measure instantaneous
noise levels and can be used for spot checks, or for very simple surveys.
• Integrated sound level meters – measure noise over a period of time and give a time-weighted
average over that time period; useful for most noise surveys.
• Dosimeters – integrating sound level meters worn by the worker to give a measure of personal noise
exposure; useful for work areas where people move around a lot.
The results of a noise survey need to be interpreted to give an accurate estimate of workers’ exposures.
These exposures can then be compared to the legal standards and any necessary action identified.
Noise measurement and assessment is a complex topic that should only be undertaken by a competent
person.
Keeping Records of Assessments

Record of the sound assessment should be recorded in an intelligible and accessible kind. The record
should include the details in the following list.
• The workplaces, locations, jobs and individuals examined
• The noise measurement locations, duration of measurements, and keeps in mind describing any
noise control steps applied at the time,
• The operate in progress at the time of the measurement,
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• The work patterns and computations of day-to-day direct exposure

• All day-to-day personal exposures found at or above the first action level
• Peak sound direct exposure levels
• Identification of sources contributing to the examined extreme noise levels
• Any suggestion for measures to minimise the noise exposure
• The date and times of the sound measurements
• The person(s) responsible for the measurements and evaluations.
Noise Control
Noise exposure can be controlled in three main ways, each of which may be achieved using various
methods:
Reduce the noise at the source – completely remove the noise source. This is not practical in many
instances, but could involve:
Substituting the source – changing the noise source for something else that does the same job but
generates less noise (e.g. replace a petrol-driven machine with an electric version).
Maintenance – machinery often produces noise because it is in need of maintenance.
Damping – machine parts (especially metal surfaces) can sometimes resonate in harmony with noise being
produced by the machine (like a cymbal that rings when hit). This exaggerates the noise generated.
Damping changes the resonance characteristics of the metal part to prevent it ringing in this way. This can
be achieved by changing the part, stiffening it, or even adding material to one side of it.
Modifying the process – e.g. by changing from glass to plastic bottles noise from a packing line can be
reduced, or by replacing a compressed-air rivet gun with a screw fixing manufacturing noise can be
reduced.
Silencing – any machine that produces exhaust gases (e.g. a diesel generator) should be fitted with a
silencer on the exhaust to suppress noise.
Interrupt the pathway from source to receiver through engineering controls, by:
Insulation – in some instances it is possible to build an acoustic enclosure around the noise source.
Noise is generated inside the enclosure but cannot penetrate through the walls to the outside work
environment. For example, a static diesel generator might be placed in a separate building with sound
insulating walls, or a noisy pump may be enclosed in an acoustic hood.
Isolation – noise is often transmitted in the form of mechanical vibration from machinery into supporting
structures (e.g. from a compressor into the floor it is mounted on). Isolation involves separating the
machine from any supporting structure using vibration absorbent mats or springs. This breaks the
transmission pathway.
Absorption – once noise has escaped from its source it may travel directly to the receiver through air, or
may be reflected off hard surfaces (such as walls and ceilings). Absorption involves putting sound-
absorbing material in the workplace to absorb these sound waves before they can reach the receiver, e.g.
a sound-absorbent material might be used to line a wall, preventing reflection of sound waves.
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Target/Person Control
The types of protection available fall into two broad categories, the use of which may be determined by
the work activity. These are:
• Ear Muffs: Can either fit over the head or are attached to a safety helmet. In both instances, the
protector covers the ears. (Ear Defenders)
• Ear Plugs: Can be either pre-moulded or expandable and are inserted into the auditory canal.
Under exceptional circumstances, a combination of both can be used. Whichever type is used a high
degree of cleanliness is necessary, particularly so with ear plugs. Protectors should also be checked on a
frequent basis for signs of deterioration, which will subsequently reduce their effectiveness.
While hearing protection is manufactured to a set standard the degree of protection afforded varies
considerably. Obviously, an engineer testing jet engines require better protection than someone working
a lathe, etc. As previously mentioned the type of protector used could depend on the work being carried
out by the wearer. Ear muffs, for example, could interfere with the use of other personal protection. They
can also be uncomfortable if worn for prolonged periods, particularly in hot conditions. Long hair and
spectacles can also reduce efficiency. They do have the advantage of affording excellent protection if
selected correctly and can clearly be seen to being used. Ear plugs do not generally interfere with other
protection and arguably are more comfortable. Care, however, is need when fitting them and training is
generally necessary. Hygiene is also an important factor. Whenever feasible personal choice should be
considered, it is far better to provide an item which is personally acceptable to the user.
Selection of Hearing Protection

When selecting hearing protection, be it muff or plug, there are fundamental questions which need to be
answered. “Will the protection reduce the risk to an acceptable level?” This will typically be determined
from the findings of a noise survey which should define both the level and frequency range of the sound
being produced. Both must be compared with the attenuation data provided by the protection
manufacturer to determine the protector most suited to the situation. Other factors to consider when
selecting hearing protection include:
• Comfort and fit
• Maintenance and care
• Training, information and instructions
• Issue to visitors – also consider hygiene issues
• Personal choice
• Noise reduction
Maintenance of Hearing Protection

Proper care and maintenance of earplug or earmuff are necessary
to ensure optimal fit and protection over time. Maintenance could
be done by the wearer, however intricate or specialise
maintenance must be performed by a trained and competent
specialist.
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Attenuation
Information on the levels of noise reduction (attenuation) associated with ear protectors are provided by
the manufacturer of the product. The type of information includes HML (High, Medium, and Low) values;
SNR (Single number rating) values and Octave band mean attenuation and the standard deviation.
Role of Health Surveillance

Health surveillance – in the form of audiometry – is appropriate for workers exposed to high noise levels.
Audiometry
It is a medical test that quantifies the sensitivity of a person’s hearing across a range of frequencies (low
pitch to high pitch). It normally involves the worker sitting in a soundproof booth with headphones on
listening for faint beeps and indicating when the beeps can be heard. The results can show whether a
person’s hearing is being affected by exposure to loud noise and, if so, to what extent.
Though statutory requirements vary, audiometry should usually be carried out on all workers potentially
exposed at or above the 85 dB(A) exposure limit (i.e. those working in mandatory hearing protection
areas). It might also be conducted on workers with known hearing damage at lower levels (in the EU, 80
dB(A)). Any worker who might potentially be exposed to damaging noise levels should be given an
audiometry test when they first start work to establish a baseline for their hearing and to indicate whether
they have pre-existing damage. Audiometry allows:
• Identification of workers with:
o Pre-existing hearing damage.
o New hearing damage (which may be work-related).
• Removal/exclusion of such workers from high-noise areas (protecting them from further hearing
loss).
• Investigation of noise controls to identify and rectify problems (protecting others in the same
work area).
Audiometry should be conducted by trained, competent persons, with the possibility of referring cases to
a medical practitioner.
Records
Management ought to keep a current health record for each individual as long as they are under health
monitoring. These records need to consist of:
• Employee identifications
• The employee’s history of exposure to noise;
• The outcome of previous health monitoring in terms of fitness for work, and any restrictions
required.
All medical information must be kept in confidence in the medical record held by an occupational health
professional in charge of the audiometric testing programme.
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5.2 VIBRATION
Terms and Definitions
Daily exposure
It implies the amount of mechanical vibration to which an employee
is exposed during a working day, normalised to an 8-hour referral
duration, which appraises the magnitude and period of the
vibration.
Hand-arm vibration (HAV)

It means mechanical vibration which is transmitted to the hands and
arms during a work activity.
Whole-body vibration (WBV)

It means mechanical vibration which is transmitted into the body
when seated or standing through the supporting surfaces, during a
work activity.
Effects of Exposure to Vibration

The health effects associated with vibration exposure fall into two main categories.
Hand Arm Vibration

Any job, including those involving vibration, must be considered during any risk evaluation. Various tools
and operations within the industry can expose workers to hazards from vibrations such as:
• Road and concrete breaking and Concrete vibro-thickeners
• Chisels (air or electric) and Compressor guns
• Pneumatic drills, Angle mills and Cut-off wheels
• Chainsaws and Woodworking equipment.
The risk of their triggering vibration-related injury depends on a variety of concerns:
• The vibration magnitude and frequency.
• How long the equipment is utilised and the conditions of usage
• The posture of the operative
• The temperature at which work is performed
Hand-Arm Vibration Syndrome (HAVS)

This is a condition that specifically affects the hands and arms as a result of a significant vibration dose to
the hands.
Symptoms include:
• Vibration White Finger (VWF) – the blood supply to the fingers shuts down (often in response to
cold) and the fingers turn white (known as ‘blanching’) and become numb. The blood supply returns
after a time and the fingers become red and painful.
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• Nerve damage – the nerves carrying sensory information from the fingers stop working properly
resulting in a loss of pressure, heat/pain sensitivity and feeling.
• Muscle weakening – grip strength and manual dexterity reduce.
• Joint damage – abnormal bone growth can occur at the finger joints.
HAVS normally results from long-term exposure (5 to10 years, or more) to hand vibration (e.g. from use
of a chainsaw). It is an incurable condition. Once damage has been done it is unlikely to reverse, and any
further exposure to vibration will do further damage. The most appropriate treatment for most workers
is for them to give up the use of vibrating hand-tools.
Whole Body Vibration

Whole-body vibration is experienced when vibration from a vehicle or device a person is standing or sitting
on is transmitted to the torso through the feet or butts. The most common complaint from WBV is
persistent back pain, but it may also cause digestive disorders, cardiovascular stress and dizziness or
motion sickness, due to balance organ or sensory system disorder. Work activities of greatest risk for WBV
consist of the use of agricultural and forestry lorries and equipment - tractors, etc.; Building and
construction and quarrying lorries and equipment - diggers, dumper trucks, etc.; Haulage automobiles -
roadway, rail, buses, etc.; Commercial trucks - forklifts, straddle carriers, and so on.
Vibration Assessment
As with noise, there are levels of vibration that cause damage to employees who are exposed for a
particular period of time. Again, an employer must be able to protect workers from such dangerous levels,
and must know what the actual vibration levels associated with equipment are, and also how long
employees are exposed to it.
There must be an assessment of both the vibration level and the duration of exposure; then a reasonable
assessment can be made of the likelihood of employees suffering damage, such as HAVS or whole-body
vibration effects. With this information, the employer can put suitable measures in place to control
exposure to vibration.
Action Values
Occupational vibration exposure is subject to statute law in many countries. As with noise, the law varies
between countries and regions and there are no harmonised standards for terminology, assessment
technique or regulatory requirements.
Exposure limits are set on the basis that the amount of damage done is dependent on the amount of
energy absorbed by the body. This is determined by the:
• Vibration magnitude (measured in ms-2).
• Duration of exposure (measured in hours and minutes).
These two factors determine the ‘dose’ of vibration absorbed (the same principle as applied to noise).
When undertaking a vibration assessment it is therefore necessary to estimate a worker’s actual exposure
to vibration (which will fluctuate) and then calculate what the equivalent eight-hour exposure will be. An
assessment might measure vibration exposure directly using a meter (accelerometer), or it might use
manufacturers’ data.
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Vibration Control Measures

Similar to noise exposure, vibration exposure can be controlled in three main ways:
Reduce the vibration at source:
Eliminate the source – completely remove the vibration source, perhaps by mechanising the use of tools
(e.g. using a concrete-breaker mounted on an excavator arm rather than hand-operated) or by changing
work methods (automation of the process, clamping rather than welding, removing the need to grind
away welds).
Substitute the source – change the vibration source for something else that does the same job but
generates less vibration. This can be done by changing the type of equipment or tool being used, but can
often be achieved by using the same type of tool but simply buying a low-vibration magnitude model.
Change work techniques – there may be ways of doing the work that do not produce as much vibration
(e.g. cutting holes in masonry using a diamond-tipped drill rather than a tungsten hammer drill). It may
also be possible to modify the equipment to improve the grip on the tools.
Maintenance – machinery often produces vibration because it is in need of maintenance. Bits, in
particular, should be kept sharp.
Interrupt the pathway from source to receiver
Isolation – vibration is transmitted through solid materials by direct contact (e.g. from the two-stroke
motor of a chainsaw to the chassis supporting that motor to the handles to the hands). Isolation involves
separating vibrating parts from the user’s hands using anti-vibration mountings. This breaks the
transmission pathway. This approach can be applied to hand-tools such as chainsaws, and to vehicles -
the suspension of a seat in a vehicle cab is isolating the driver from vehicle vibration.
Limit the duration of exposure

There is a direct relationship between vibration dose and duration of exposure: halve the time; halve the
dose. This leads to two possible control options:
• Limit the duration of exposure by calculating how long a worker might use a particular tool before
they approach a relevant action or limit value.
• Change the work schedules, e.g. through job rotation/rest periods, so that vibration exposure is
shared between several workers, with no one worker receiving above the relevant action or limit
value.
Note that unlike noise exposure there is no option to use PPE in order to control vibration exposure.
This is because there is conflicting evidence about the effectiveness of PPE at preventing vibration
transmission, and many authorities do not recognise PPE as a means of exposure control. In spite of this,
hand protection is important when using vibrating hand tools because the hands should be kept warm
and dry. Cold, wet hands are more prone to injury from vibration and symptoms are more likely to be
experienced, so gloves should be worn to keep the hands warm and dry. As with all workplace equipment,
training is an essential control measure. Operators should be aware of the hazards associated with HAVS
and the controls implemented to reduce the risk.
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Providing Health Surveillance

Health surveillance is appropriate for workers exposed to high vibration levels. In the first instance, it
might simply consist of looking at a worker’s medical history and asking about symptoms of health effects.
If problems are detected then tests might be carried out. Though statutory requirements vary, health
surveillance should usually be carried out on all workers potentially exposed at, or above the exposure
action value. Any worker who might potentially be exposed to damaging vibration levels should be
checked when they first start work to establish a baseline and to indicate whether they have pre-existing
damage.
As with noise, health surveillance allows:

• Identification of workers with:
o Pre-existing damage.
o New damage (which may be work-related).
• Removal/exclusion of such workers from vibration sources (protecting them from further injury).
• Investigation of vibration controls to identify and rectify problems (protecting others in the same
work).
Health surveillance should be conducted by trained, competent persons, with the possibility of referring
cases to a medical practitioner.
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5.3 RADIATION
Radiation may be defined as the process of emitting energy as waves or particles. In the context of
potential hazards, radiation has become confined to ‘Ionising Radiation’ and ‘Non-Ionising’ Radiation. This
radiation can also be split into ‘particulate’ and ‘electromagnetic’ according to its nature. Ionising
radiation is the energy produced from natural and man-made radioactive materials. It is present in the
environment because of naturally occurring radioactive minerals remaining from the very early formation
of the planet earth. This leads to exposure to gamma rays and radioactive radon gas from certain rocks
and from radioactive material in food and drink. Exposure also occurs from natural ionising radiation that
passes through the atmosphere from outer space, the so called ‘cosmic radiation’.
Main sources of man-made ionising radiation - Firstly, it is used in medicine for treating cancer and for the
diagnosis of many diseases. They are used in industry, primarily for measurement purposes and for
producing electricity. Both medical and industrial uses of radiation produce radioactive waste.; The fallout
from previous nuclear weapon explosions and other accidents / incidents worldwide.; The damaging
effects of ionising radiation coming from the packages of high energy that are released from radioactive
material. Radiations in the environment can come from sunlight, power lines; electrical equipment and
mobile phone systems do not have enough energy to produce ionisation. Therefore, they are called non-
ionising radiations.
Ionising and Non-Ionising Radiation

Non-ionising radiation is electromagnetic e.g. visible light, ultra-violet light, etc. which could deposit
thermal energy in the body or have no effect at all.
Ionising radiation is not electromagnetic but is particulate, e.g. alpha, beta, gamma, neutron and x-ray
radiation, has enough energy to effect chemical changes to biological molecules, which can lead to ill-
health effects. Significant exposure to ionising radiation may damage cells or tissues. Sources of ionising
radiation are radioactive materials and x-ray machines. Ionising Radiation can be defined as radiation that
produces ionisation in the matter. This can be electromagnetic (as with X and Gamma) or particulate (as
with Alpha and Beta particles), Ionising Radiation has the ability to enter the atomic structure of matter.
Ionising Radiation – Effects and Controls

Ionising Radiation includes:
• Alpha, Beta and Gamma radiation (as emitted by radioactive materials such as radon)
• X – Radiation (generated by electrical devices)
• Neutron Radiation (as emitted in fission)
Radiation is very easy to detect, using unique instruments such as Geiger counters. Even tiny amounts of
radiation can be detected. A Geiger counter actually counts every particle which enters it.
Alpha - Is a particle radiation consisting of two protons and two neutrons bound together. Penetration
is approximately 2 cm in air. Used for smoke detection.
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Beta - Is a particle radiation consisting of high-speed electrons. Penetration is approximately 800 mm in

the air. Used for thickness measurement equipment
Gamma - Is a ray consisting of high energy electromagnetic wave emissions. Penetration is approximately
30 metres in the air. Used for Radiation Photography (Non-Destructive Testing)
X-Rays - X radiation is emitted when certain changes occur in the energy levels of the orbiting electrons.
It is very similar to Gamma radiation in its properties because it is pure electromagnetic energy but
generally has lower energy than Gamma rays. Used for Medical Photography Neutrons - Neutrons are
elementary particles with unit atomic mass and no electric charge. The most powerful source of neutrons
is a nuclear reactor.
Neutrons - are very penetrating but can be stopped by very thick layers of concrete or water. By-product
of a Nuclear Reaction
Radon - Radon is produced by the decay of the unstable isotope radium, which is present wherever
uranium is found for example in mines, stone quarries, soil, rocks and even radon abundant ground water.
It seeps out of uranium-containing soils and may concentrate in well-sealed homes. Radon gas is a cause
of lung cancer. The primary routes of entry are inhalation and ingestion.
Uses of Radioactivity
Several properties of radiation make it useful:
• Easy to count/detect, even in tiny amounts. This makes it easy to locate the radioisotopes that
are giving out the radiation.
• Radiation can be very penetrating. It can be used to look through solid objects, in the same way,
that X-rays are used
• Radiation can destroy living cells. This makes it dangerous, but also useful for sterilising things by
killing micro organisms
• Cancer cells are more easily killed by radiation than healthy cells. By aiming Gamma rays very
accurately at cancer growths, doctors can try to destroy cancer without affecting the rest of the
body. Gamma radiation from Cobalt is often used.
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Harmful Health Effects of Ionising Radiation

Acute effects of exposure to high doses of ionising radiation include:
• Sickness and diarrhoea.
• Hair loss.
• Anaemia, due to red blood cell damage.
• Reduced immune system due to white blood cell damage.
All of the cells of the body are affected by the radiation, but some more than others. If the dose is large
enough then death will follow in weeks, days or hours.
Chronic effects of exposure to ionising radiation include:

• Cancer.
• Genetic mutations.
• Birth defects.
Chronic effects can arise following exposure to high or low doses of radiation. There is no known safe level
of exposure below which no chronic effects might occur – instead, there is a clear relationship between
dose and the risk of these chronic effects (i.e. the larger the dose the greater the risk).
Controlling Exposure to Ionising Radiation

The basic control principles are commonly applied:
Time
The length of time that persons are exposed to ionising radiation must be kept to the minimum. One of
the main control measures for radiation is to ensure that the dose to which individuals at risk have been
exposed is continuously monitored. Once the dose limit has been reached, they must be removed from
exposure
Distance
Most forms of radiation used in industry will only travel short distances. Therefore barriers, restricted
areas and other controls are required mainly to protect those not involved in the actual operation.
Distance must be maximised.
Shielding
This is the best method of protection as it results in safer working conditions. Shielding involves placing
a physical barrier between the source and the individual.
Protection Strategies
Basic Radiation Protection Strategies including the role of the competent person in the workplace.
Radiation protection plans for ionising radiation are more accurate and reflect the principles and
recommendations made. The three basic principles of radiological protection are:
• Justification of activities that could cause or effect radiation exposures
• Optimisation of protection in order to keep doses as low as reasonably achievable
• The use of dose limits.
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The recommendations of the ICRP include establishing responsibilities, assessing risk, developing
prevention/control measures and conducting health surveillance. A competent person such as Radiation
Protection Advisor (RPA) should be appointed to assist the employer with the radiation protection
program.
Occupational Sources of Ionising Radiation

Exposure to ionising radiations in the workplace includes:
• Non-destructive testing of welds
• Density measurement
• Workers in nuclear power stations
• Medical diagnosis and treatment
• Underground miners (natural radiation example Radon gas)
• Air crew (natural radiation)
Non-Ionising Radiations – Effects and Controls

Ultra-Violet Radiation (UVR)
Ultra-violet radiation is produced naturally by the sun and artificially by processes such as welding. The
two primary hazards of ultra-violet radiation are effects upon the skin and eyes. Sunburn is a common
example and can range from simple reddening to severe blistering of the skin depending on exposure.
Prolonged exposure to UVR especially in fair skinned people can lead to skin cancer. Exposure of the eyes
to UVR will produce inflammation and conjunctivitis and is extremely painful. This is often observed in
the welding industry and causes the condition known as ‘arc eye’. All workers exposed to UVR must wear
the correct type of eye protection and protective clothing, during arc welding precautions must be taken
for the protection of passersby.
Infra-Red Radiation (IRR)

Infra-red radiation is emitted by a large variety of sources such as the sun, furnaces, heated metals,
welding arcs, etc. The primary effect of IRR is heated and although skin burns are possible the skin usually
provides a warning mechanism. However, the eye does not have such a warning mechanism and work
associated with the powerful sources of IRR such as glass making carries the risk of cataracts. Control
measures should be the correct type of eye protection with proper filtration. Shields which deflect the
heat away from the worker may also be used.
Lasers
The word laser stands for ‘light amplification by stimulated emission of radiation’. Basically, a laser is an
electrooptical device for concentrating light into a narrow beam of intensely high energy. The uses for
lasers include reference lines in the construction industry, welding and surgery. The eye is the most
vulnerable to damage from mild retina burns to permanent blindness. Use of the correct eye protection
will protect the worker from this danger. Other controls include enclosure of the work area and warning
signals to the employees when the beam is in use.
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Microwave
Microwaves are very high-frequency radio waves which possess sufficient energy to cause modular
vibration (heat) in certain materials including tissue. Microwaves are used in radar and certain drying
processes as well as the standard microwave oven. Human exposure to such radiation may cause
‘cooking’ of the exposed human and the risks of burns to the skin and eyes. The only fair control measure
is complete enclosure adequately shielded, and this is relatively straightforward as microwaves cannot
penetrate thin metal.
Controlling Exposures to Non-Ionising Radiation

The basic means of controlling exposure to non-ionising radiation vary depending on the type of non-
ionising radiation involved:
• UV – cover exposed skin; protect the eyes. For example, a welder should wear overalls with full-
length sleeves to cover the forearms, gauntlets and a full-face welding visor with a dark filter to
protect the eyes from UV and intense visible light.
• IR – cover exposed skin; protect the eyes. For example, a metal worker should wear overalls,
gauntlets and a face visor, goggles or safety spectacles to protect the eyes.
• Microwaves and radio waves – since these types of radiation can be absorbed internally, the
control of exposure is achieved by:
o Enclosing the source as far as is possible. For example, a microwave oven is designed as a
box to contain the microwave radiation and prevent its escape.
o Maintaining a safe distance from the source of the radiation (generator or antenna).
These types of radiation obey the inverse-square law, so intensity levels drop off very
rapidly as distance from the source is increased.
o Isolating (disconnecting the power) and locking off the source if workers have to approach
inside safe distances. This is achieved by the use of SSW and permit-to-work systems, and
by interlocking sources so that power has to be isolated in order to open access
gates/guards.
• Lasers – the degree of protection will depend on the class of laser:
o Little needs to be done for a low-class laser other than to avoid shining it into people’s
eyes.
o For high-class lasers: eye protection (dark goggles); shielding to prevent escape of the
beam; use of non-reflective surfaces.
Where work potentially exposes people to non-ionising radiation, it may be necessary to assess the dose
of radiation received. Local and regional legislation may set dose limits on exposure to optical non-ionising
radiation (UV, visible and IR). They also require that a risk assessment be carried out. This should be done
by a competent person. It may be considered necessary to appoint a Laser Protection Adviser (LPA) where
high-power laser sources are used at work.
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Occupational Sources of Non-Ionising Radiation
Type of Non-Ionising Radiation Example of Commercial Use

• Microwaves • Signal transmission, food preparation
• Infra-Red • Heating and Brazing
• Ultraviolet • Commercial tanning, arc welding
• Lasers • Bar code readers, surveying
• Radio waves • Radio transmissions, radar
Monitoring and Health Surveillance

The role of radiation monitoring is to ensure that radiation working conditions in workplaces exposed to
radiation are kept under review and that current levels of radiation exposure of workers are known. The
primary functions of monitoring are to:
• Check that area has been correctly designated for the hazards that exist.
• Identify any changes to radiation exposure levels so that appropriate control measures for
restricting exposure can be proposed.
• Detect breakdowns in controls or systems, so as to indicate whether conditions are satisfactory
for continuing work in that area
• Ensure workers use the controls provided and report any defects
• Ensure employees use personal protection where its use is designated as mandatory
• Provide information on those who may be at risk and in need of health surveillance.
In the health surveillance, the following types of examination may be carried out:
• Skin checks – to identify lesions that could allow radioactive materials to enter the body.
• Respiratory checks – to ensure that workers who may be required to wear respiratory protection
are fit and able to do so.
• Reference to exposure records – checks of the employees’ records to determine if dose limits
have been exceeded.
• Reference to sickness records – examination of employees’ general health and absence history.
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5.4 MENTAL ILL-HEALTH

Causes and Effects
Stress is not a disease; it is the natural reaction to excessive pressure. Stress can lead to improved
productivity in short time, but is not a good thing, since it is likely to result in both physical and mental ill-
health, such as high blood pressure, peptic ulcers, skin disorders and depression.
Most people experience stress at some time during their lives, illness or death of a close relative or friend.
However, recovery generally occurs after the particular crisis has passed. Stress can be caused by various
factors, but two major areas are obviously Home and Work.
Stress is not an illness, but when prolonged or particularly intense, it may lead to increased health
problems including:
• Physical effects - heart disease, back pain, gastrointestinal disturbances and various minor
illnesses
• Psychological effects - anxiety and depression
• Other behaviours - skipping meals, drinking too much alcohol and excessive smoking.
Stress can also have consequences at work. It can lead to:

• An increase in sickness absence, reduced staff morale
• Reduced staff performance
• Staff seeking alternative employment giving organisations the expense of recruiting, inducting,
and training replacement staff.
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We can look at the causes of workplace stress under six headings:
Demands – excessive demands of the job in terms of workload (too much or too little), speed of work and
deadlines, as well as working hours (excessively long) and work patterns (e.g. changing shift patterns).
Also consider the nature of the job: some jobs are inherently difficult (e.g. air-traffic control) and some
expose workers to highly emotional situations (e.g. social work).
Control – lack of control over work, especially where the work is demanding. This includes control over
what work is to be done, how it is to be done, the priorities involved and even simple things like control
over the working environment (light levels, temperature, background noise, etc.).
Support – lack of support in terms of information, instruction and training to do the work and having no
one to turn to when pressure increases.
Relationships – poor workplace relationships, in particular bullying and harassment (whether by
managers, peers, or even subordinates).
Role – lack of clarity about an individual’s role, what responsibilities and authority they have, and how
they fit in to the larger organisational structure.
Change – the threat of change and the change process itself, whether it is a change that affects just one
worker (e.g. demotion, re-assignment) or the whole organisation (e.g. redundancies, management
takeover) can create huge anxiety and insecurity.
Non work-related factors are also a very significant cause of stress. Individuals will go through many
difficult times in their lives (e.g. bereavement, separation, family illness) that have nothing to do with their
work. Also, some individuals will be pre-disposed to anxiety and the negative effects of pressure. Though
these factors are not work-related, they still have effects in the workplace, so they do need to be
considered.
Control Measures
Stress control measures would start from a strong stress
management policy, where management makes it clear to
everyone that stress is a significant issue that management
does not accept, and thereafter put in measures to avoid and
minimise the above-mentioned factors that increase stress.
Typical controls could be summarised as follows:
• Selecting suitable employees
• Training and development of staff
• Clearly defined roles
• Comfortable working environment
• Good lines of communication
• Realistic work schedules
• Employee involvement
• Grievance procedure
• Policies to deal with stress
• Management support
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5.5 VIOLENCE AT WORK
Violence is defined as ‘any incident in which an employee is abused, threatened or assaulted in the
circumstances relating to their work’. Within the scope of this definition would be included verbal abuse,
as well as physical aggression. These definitions include verbal in addition to physical abuse and might
arguably also consist of psychological control (mental abuse). Incidents involving spoken abuse are the
most typical. Violence at work can be from two areas:
• Internal violence by fellow employees and this can also include bullying
• External violence such as physical, verbal aggression and assault by people outside the
organisation
People at Risk
Certain work factors, processes, and interactions can put people at increased risk of workplace violence,
including:
• Working with the public or having a mobile work environment.
• Handling money, valuables or prescription drugs.
• Carrying out inspection or enforcement duties.
• Education and Health care and other service staff.
• Working with unstable or volatile person’s e.g. criminal justice system.
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Control Measures
Finding out if there is a Problem of Violence
All potential hazards that may lead to violence in the workplace need to be examined. Employers may not
be aware where the problem lies; it is important for Line Managers to discuss with employees and refer
to incident records of past events.
Decide What Action to Take

If violence is considered to be a capacity an issue companies must choose what action to take by
recognising who may be affected and how, and thereafter:
• Examining the risk
• Assessing the level of training and info required
• Supplying a sufficient workplace - Taking a look at the style of the task to see how direct exposure
to violence can be eliminated or the risk reduced
• Recording the findings and evaluating the evaluation.
The way jobs and workplaces are designed can reduce the risk of violence, but there are no easy remedies
and employers need to identify the measures best suited to their particular workplace and activities. The
following are examples of various actions that are used:
• Queue management and details
• Change the task to offer less face to deal with contact
• Usage cheques, credit cards, tokens rather of money
• Examine credentials of customers and meeting places
• Avoid lone working in high-risk areas
• Call-in system for lone workers
• Arrangements to get staff house if working late
• Training employees to deal with aggression
• Changing public waiting locations
• Offer staff at risk with escape paths
• Video cams, alarm buttons, visible security staff
• Protective screens and coded security locks
• Wider counters and greater floor on personnel side
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5.6 SUBSTANCE ABUSE AT WORK

Types of Substances Misused At Work
There are several types of substances that may be misused at work. Notable examples include:
Alcohol
Sometimes alcoholic drinks are taken at work or during lunchtime drinks in a
local bar. Employees returning to work can then be under the influence of
alcohol. Often, the effects of alcohol consumed the night before can linger
into the next day with detrimental effects, especially for vehicle drivers and
machinery operators.
Legal or Illegal Drugs (Narcotics)

Legal drugs can be in the form of over-the-counter, non-prescription drugs
such as common analgesics and pain-killers, or stronger medicinal
treatments prescribed by a doctor. Illegal drugs (such as cannabis, heroin,
cocaine, etc.) may be taken by persons while in the workplace and away from it. In all cases, use of such
drugs can have detrimental effects on a person, not only leading to higher risks when driving vehicles or
operating machinery but also affecting their personality, responses and attitude. Other persons may
therefore be put at risk as well.
Solvents
Inhalation of solvents – which may be through uncontrolled or badly controlled use of a hazardous
substance (such as solvent-cleaning and paint spraying), or from deliberate exposure (‘glue-sniffing’) can
affect a person’s performance and can damage their health.
Risks to Health and Safety

Alcohol is an addictive drug that significantly impairs the senses and reaction times, even at low doses.
Social history in many countries has meant that it is widely available, used and abused.
As discussed earlier, ‘drugs’ is a very broad term that can be applied both to legal, prescription drugs and
illegal drugs. Some prescription drugs and many illegal drugs are also addictive.
Effects of Drugs and Alcohol

The exact symptoms of alcohol and drug abuse will vary, but some general symptoms might be observed:
• Late attendance
• Increased absenteeism
• Reduction in quality of work
• Reduction in work rate
• Dishonesty
• Irritability and mood swings
• Deterioration in working relationships
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These will all be associated with cost to the employer, as well as increased risk. Drugs and alcohol cause
sensory impairment, skewed perception, impaired motor control and, in many instances fatigue and
drowsiness. There are obvious safety risk associated with drugs and alcohol, e.g. driving a vehicle or
operating machinery under the influence increases the risk to the worker and to others. There are also
health risks for the worker, usually associated with long-term abuse (e.g. cirrhosis of the liver due to
alcohol abuse).
Risk Control Measures

The employer should collect information about the state of the problem in the workplace. Company
history may show a clear pattern of drug or alcohol misuse. Of course, in some locations local culture will
dictate that drugs and alcohol are severely restricted in use.
The employer should establish a clear drugs and alcohol policy. This policy might contain the following:
• Rules restricting access to alcohol in the workplace or during working hours.
• Statutory legal requirements prohibiting workers from being under the influence of drugs and
alcohol.
• Non-statutory requirements (set by the employer) prohibiting workers from being under the
influence of drugs and alcohol.
• Arrangements for any random drug and alcohol testing that worker will be subject to.
• Arrangements for workers to have access to rehabilitation and treatment programmes if they admit
to having a problem.
• Disciplinary procedures for workers, who refuse assistance, refuse to be tested, or who fail a test.
• Provision of information, instruction and training for workers, supervisors and managers.
Drug and alcohol awareness campaigns should also be considered. Any drug and alcohol testing policy
must be justified and clearly explained to workers. There are legal and ethical issues associated with
testing regimes that must be carefully considered.
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Summary
This element has dealt with some of the health hazards and controls relevant to noise, vibration, radiation,
stress, violence and substance misuse at work. In particular, it has:
• Explained the physical and psychological effects of exposure to excessive noise, as well as noise
exposure standards and basic principles of noise assessment.
• Outlined the control of exposure to noise by reducing the noise at source, interrupting the
pathway from source to receiver and protecting the receiver using engineering controls/PPE.
• Discussed the effects of exposure to excessive vibration, as well as exposure standards and basic
principles of vibration assessment.
• Outlined the control of vibration exposure by reducing the vibration at source, interrupting the
pathway from source to receiver and limiting the duration of exposure.
• Described the types of ionising and non-ionising radiation, their health effects, typical
occupational sources and control of exposure.
• Outlined the effects of physiological stress, work-related causes and preventive measures.
• Discussed risk factors for work-related violence and control measures.
• Outlined types of substances misused at work, as well as the risks to health and safety of drug and
alcohol misuse, and the control measures available.
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ELEMENT 6: MUSCULOSKELETAL HEALTH
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Learning outcomes
6.1 Describe workplace activities that may cause work-related upper limb
disorders and appropriate control measures for these activities.
6.2 Outline the hazards and control measures which should be considered
when assessing risks from manual handling activities.
6.3 Outline the hazards and controls to reduce the risk from the use of load
handling equipment.
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6.1 WORK-RELATED UPPER LIMB DISORDERS (WRULD)

Meaning and Scope of WRULD
Musculoskeletal diseases are diseases of the muscles and their associated ligaments and other connective
tissue and of the bones and cartilage viewed collectively.
Musculoskeletal disorder (MSD) is a common term which is explained as relating to muscles and the
skeleton. Thus, the musculoskeletal system involves the:
• Muscles
• Bones
• Joints - the place of union between two or more bones
• Bursa - fluid sac between the muscles and bones that form in areas of friction
• Ligaments - a fibrous band of tissue connecting bones
• Tendons - a fibrous band of tissue connecting muscle to bone
WRULDs is a cumulative term for a group of occupational diseases that consist of musculoskeletal
disorders triggered by direct exposure in the work environment affecting the muscles, tendons, nerves,
capillary, joints and bursae of the hand, arm, wrist and shoulder. RSI (Repetitive Strain Injury) is typically
utilised to explain WRULDs.
Typical Examples of Repetitive Operations

Typical examples of repetitive actions that cause WRULDs include:
• Repetitive finger such as keyboard operation
• Hand, or arm movements such as bricklaying
• Twisting movements, e.g. check out operators
• Squeezing, e.g. using pliers, scissors
• Pushing, pulling, lifting or reaching movements, e.g. assembling packing boxes.
• Work on a production line, e.g., assembly of small components
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Ill Health Effects of Poorly Designed Tasks and Workstations

The ILO (1996) identified the most common injuries and diseases caused by repetitive or poorly designed
work.
Injury Symptoms Typical causes

Bursitis: Inflammation of the Pain and swelling at the site of Kneeling, pressure at the elbow,
bursa (sack-like cavity) between the injury. repetitive shoulder movements.
skin and bone, or bone and
tendon.
Carpal tunnel syndrome: Tingling pain and numbness in Repetitive work with a bent
pressure on the nerves, which the thumb and fingers, wrist Use of vibrating tools.
pass up the wrist especially at night.
Tennis elbow: inflammation of Pain and swelling at the site of
Repetitive work, often from
the area where bone and tendon the injury. strenuous jobs like joinery,
are joined. plastering, bricklaying
Tendonitis: inflammation of the Pain, swelling, tenderness and Repetitive movements.
area where muscle and tendon redness of hand, wrist and/ or
are joined. forearm. Difficulty in using the
hand.
Trigger finger: inflammation of Inability to move fingers Repetitive movements. Having
tendons and/ or tendon sheaths smoothly with or without pain. to grip too long, too tightly, or
of the fingers too frequently.
Factors Increasing the Risk to Ill-Health Condition

As regards to all occupational hazards, the hazard factors revolve around the task, the equipment and the
environment where the work is undertaken, and it gets aggravated by individual factors too.
The Task
• Strenuous pulling or pushing
• Repetitive handling
• Insufficient rest or recovery
• A work rate imposed by the process
The Environment
• Lighting
• Glare
• Ventilation
• Obstacles
• Temperature
• Space available
Equipment
• the shape of the equipment and how this affects ease of use
• the scope available for the user to adjust the equipment to suit their personal requirements
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Control Measures
Many activities involve significant ergonomic risk. For example, bricklaying on a construction site involves
several of the risk factors noted above: the work is repetitive; awkward posture and twisting is necessary;
rest periods may be infrequent; and the work area may be extremely cold and windy, or hot, humid and
airless. In general terms, the control of ergonomic risk can be achieved by introducing changes to:
• The task and the way that it is done;
• The tools, equipment and machinery; and
• The workplace environment to suit the individuals carrying out the work.
In some cases, it may be appropriate to put restrictions on the individuals doing the work (i.e. restricting
those people who have a known WRULD to light duties in order to avoid further injury).
Display Screen Equipment

The term Display screen equipment DSEs (also called visual display units VDUs) covers a range of electrical
display equipment that is most often part of a computer system and includes Laptops.
Health Effects
There are considered to be 3 main health effects in the use of DSEs and these are:
Musculoskeletal Disorders
These are conditions of the hand, neck, shoulder and arm likewise described as ‘Work associated upper
limb disorders’ WRULDs. These range from short-lived fatigue or soreness in the limb to chronic soft tissue
conditions such as Tendonitis and Carpal tunnel syndrome. Staying in a static posture of back, neck and
head for an extended period of time is known to cause musculoskeletal conditions, and other elements
that contribute to the issue are the awkward positioning of the hands and wrists.
Eye and eyesight problems

The medical proof shows that utilising DSEs is not connected with long-term damage to eyes or vision nor
does it make existing defects worse. Nevertheless, some employees may experience short-lived visual
fatigue which can be triggered by poor legibility of the screen, keyboard and files, bad lighting, glare and
reflections and a wandering or flickering image on the screen. There is minimal indication that working
with DSE causes eye damage, but it might cause employees with pre-existing vision problems more
knowledgeable about them
Fatigue and stress

DSE workers can suffer stress symptoms and fatigue due to the requirement for high-speed work, lack of
social interaction and lack of breaks.
DSE Risk Assessment

A DSE Risk assessment should combine both the identification of risk and evaluation of its extent. The
analysis should cover both the presence of undesirable features and the absence of desirable ones. It
should take account of user requirements.
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Workstation Requirements
The requirements of a well suitable workstation are:
• Seat back adjustable
• Good lumbar support
• Seat height adjustable
• No excess pressure on underside of thighs and
backs of knees
• Foot support if needed
• Space for postural change, no obstacles under
desk
• Forearms approximately horizontal
• Wrists not excessively bent (up, down or sideways)
• Screen height and angle to allow comfortable head
position
• Space in front of keyboard to support hands/wrists during pauses in keying
Other Requirements
Plan Work So There Are Breaks or Modifications of Activity

There is no particular timing or length of breaks, but it is suggested that brief and regular breaks are more
efficient than longer less frequent ones. The number and timing of breaks will depend on the nature of
the work. The employee must have some discretion over when to take breaks.
Provision of Eye/Eyesight Tests and Spectacles

Employers may have to provide and pay for eye and vision tests for users if required by the legislation of
the country. If supplied the spectacles are necessary for working at with DSE only. The employer is not
expected to pay for fancy or designer frames.
Provision of Training, Information

The user will be provided with appropriate health and safety training in the usage of any workstation upon
which they are needed to work. The company will also supply the user with info relating to their
workstations and the step taken by the employer to abide by their duties under the policies.
Laptops
The design of Laptops etc. includes features such as smaller keyboards and lack of screen and keyboard
separation which makes it harder to achieve a comfortable working posture. Laptops are also used in a
variety of environments which may be poorly suited to DSE work. It is not possible to use an independent
assessor to carry out a risk assessment at each location where the laptop may be employed. One solution
is to give laptop users sufficient training and information to make their own risk assessments to ensure
that suitable measures are taken to control risks wherever they set up the laptop. Other problems with
laptops are manual handling and the possibility of theft.
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6.2 MANUAL HANDLING
Common Types of Manual Handling Injury

Manual handling is an activity that takes place in most workplaces. Often, manual handling is a routine
part of day-to-day work activity: workers on a construction site frequently move building materials by
hand; factory workers routinely pack boxes by hand; farm labourers spend hours at a time bent double in
the fields picking crops. In some workplaces manual handling occurs infrequently; office workers do not
often have to lift or carry loads on a daily basis, but they will do so occasionally.
Manual handling sometimes involves very repetitive movements of relatively small loads (e.g. handling
small components on a production line); in other instances, it can involve one-off movements of very large
and heavy items (e.g. handling structural steels into position in an inaccessible location). All these manual
handling activities generate the possibility of injuries, most of which are musculoskeletal injuries.
Common types of manual handling injury include:
Back injury – the spine is made up of individual bones (vertebrae) separated by tough pads
(intervertebral discs). Wear and tear can occur to these discs so that they become distorted (prolapsed
disc). This causes extreme pain and discomfort and is often accompanied by nerve pain because the
distorted disc traps nerves where they enter the spinal cord. This type of injury is perhaps the most serious
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of all manual handling injuries since recovery is often slow and incomplete; in some instances, the victim
will have to undergo surgery to repair the defect, or may end up permanently disabled.
Tendon and ligament injuries – (tendons and ligaments are the connective tissues that join muscle to
bone, and bone to bone, respectively). When tendons and ligaments are overloaded they tear, causing
extremely painful injuries that can take a long time to heal. In some instances, recovery is incomplete and
an operation may be required.
Muscle injuries – overloaded muscle tissue can tear. This is painful and likely to lead to short-term
impairment.
Hernias – when the sheet muscle that surrounds the gut is overloaded it can distort and tear. This usually
happens in the lower abdomen and can be a painful injury that will not repair naturally. In many instances,
an operation is required.
Work-related upper limb disorders (WRULDs) – chronic soft-tissue injuries to the arms, wrists and
hands as a result of repetitive movements (also referred to as Repetitive Strain Injuries (RSI)).
Cuts, burns, dislocation and broken bones – physical injury may result if the load is hot, sharp, or
dropped on the feet.
Manual Handling Risk Assessment

If it is not possible to avoid manual handling operations at
work, a risk assessment should be undertaken. To carry out
a risk assessment on all manual handling operations will
involve both time and effort. The HSE in the UK introduced
a risk assessment filter to screen out lifting operations with
minimal risk as shown by the diagram below for people
standing. When undertaking a manual handling risk
assessment, it should be considered under the four
headings of:
• The Load
• The Individual capability
• The Task
• The Environment
This can be remembered using the acronym LITE.
The Load
Here, the focus is on the load that is being handled. Though the load is usually an inanimate object, in
some workplaces it may be an animal or a person, e.g. in a hospital, patients have to be moved from bed
to gurney (a wheeled stretcher/trolley), from wheelchair to bath, etc.
The load can be assessed by asking questions such as:
• How heavy is the load?
• How large and bulky is the load?
• Is the load an easy shape to lift?
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• How stable is the load?

• Where is the centre of gravity (C of G) of the load?
• Is the load difficult to grip? (Or does it have handles?)
• Is the load hot, sharp or otherwise hazardous?
For example, the risk associated with handling a 12kg concrete block is lower than that associated with
handling a bundle of flexible plastic pipes, each three metres long, that weighs the same in total.
The Individual
The focus here is on the worker carrying out the handling activity. Individual capabilities can be assessed
by asking questions such as:
• Does the activity require unusual ability? Some handling activities require unusual strength,
stamina, size or technique.
• Does the activity present significant risk to vulnerable individuals, such as pregnant women or
people with pre-existing back injuries?
The Task
The focus here is on the movements required of the worker as they handle the load. The task can be
assessed by asking questions such as:
• At what height is the load being picked up, carried or put down?
• Is the task very repetitive?
• Is there a high work-rate?
• Is a long carrying distance involved?
• Can rest breaks be taken as the worker requires them?
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• Does the task involve:

o Stooping (where the worker has to keep their legs straight and bend their back) to move the
load?
o Twisting (turning the shoulders while the feet stay still)?
o Lifting the load through a vertical distance?
o Reaching above shoulder height?
o The worker holding the load away from their trunk (torso)?
Each of these risk factors increases the risk associated with the task. For example, picking up a load at
waist height, carrying it a short distance and putting it down at waist height is a simple task that does not
complicate the risk associated with the handling. But picking up the same load from floor height from the
bottom of a box, which requires the worker to stoop down into the box (risk factor 1), then carrying the
load at arms’ length (risk factor 5) for a distance of 15 metres (risk factor 3) and putting it down above
head height (risk factor 4) increases the risk associated with the task very significantly.
The Environment
The focus here is on the environment in which the handling takes place. The environment can be assessed
by asking questions such as:
• Are there restrictions on the space available?
• Is the floor surface slippery or uneven?
• Are there changes in floor level (steps, stairs, etc.)?
• What are the light levels like?
• What is the temperature and humidity?
For example, handling activities carried out outdoors on a poorly-lit construction site in freezing
conditions when there is ice on the ground will be higher risk than similar activities carried out indoors in
a warm, well-lit area.
Risk Assessors
The assessment should be carried out by members of staff who are familiar with the operations in
question, and they should be competent. By definition, a competent person could be called so if he has a
combination of training, knowledge, experience and personal qualities and also knowledge of their own
limitations. Manual assessments should be carried out by a person or persons who have a thorough
understanding of the processes and procedures involved. Also, the manual handling assessor should have
excellent communication skills. They should have a basic understanding of human capabilities, of manual
handling Assessment form and the ability to provide a practical measure to reduce the risk.
Involving the Workforce

Employees, their health and safety representatives, and safety committees should be included in the
developing of good handling practice and encouraged to report defects. They should also participate in
the risk assessment process from the start as their experience of the type of work performed will often
provide useful information.
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Recording Assessments
The significant findings of the assessment should be recorded (unless the manual handling operations are
straightforward, low risk, short duration or could easily be repeated and explained at any time). The
record should be kept for as long as it remains relevant.
Review
Manual handling assessments should be considered in the following such circumstances as:
• An accident or chronic ill-health reports
• Where there is reason to suspect it is no longer valid
• Where there has been a significant change in the manual handling task to which it relates
• Periodically.
Manual Handling Techniques

Kinetic handling is a good manual handling technique for lifting and moving loads. Although good manual
handling technique is no substitute for other risk-reduction steps, it forms a valuable addition to other
risk reduction methods. To be successful, good handling technique requires training and practice. The
content of training in proper handling technique should be tailored to particular tasks or situations.
Kinetic Handling Technique

• Assess the load
• Position feet apart, one foot flat on the floor at the side of the load, the other foot behind, with
heel raised as close to the load as possible
• Bend the knees and crouch to the load. Adopt a good posture. Maintain a straight back with the
natural spinal curve by lifting the head.
• Get a secure grip (wear gloves if necessary); the weight should be gripped with the roots of the
palms and that of fingers of the hands. Use of the finger tips should be avoided as this will cause
loss of grip
• Lift using the thigh muscles
• Keep the load close to the body – heaviest side to the trunk, avoid jerking, make a smooth
movement
• Move the feet - avoid twisting at the waist
• Put down, then adjust – slide to the desired position.
Manual Handling Precautions

While dealing with manual handling hazards, it is entirely possible to apply all the hierarchies of control
starting from elimination to use of PPEs. The following practical steps could be considered for reducing
manual handling related injuries/ill-health:
Avoiding Manual Handling

Manual handling should be prevented if possible e.g. can a treatment be taken to the patient rather than
the patient is taken to the treatment.
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Risk Reduction
If it is not possible to eliminate manual handling tasks which involve a risk of injury, the risk assessment
should result in recommendations to reduce the possibility of injury.
Automation and Mechanisation

Conveyor belt systems, forklift trucks, electric pallet trucks, cranes, hoists and other types of mechanical
moving or lifting equipment provide ways of moving loads without the need for workers to use bodily
force.
Team Handling
Where loads are too heavy for one person, the Organisation should have procedures in place to properly
organise team handling Reducing the weight, provide handles, etc. where the size, surface texture, or
nature of a load makes it difficult to grasp.
• Ensure loads in packages cannot move unexpectedly whilst being handled.
• Avoid sharp corners, hot or extremely cold surfaces.
• Provide information on the load, e.g. Centre of gravity and weight.
Training
Training programmes for employees on manual handling should include the following:
• Information on the task, load and environment
• Manual handling risk factors and how injuries occur
• Understanding of organisations manual handling risk assessment
• How to carry out safe manual handling and proper handling technique
• How to recognise and deal with potentially hazardous loads
• The correct use of mechanical aids
Smaller Lighter Loads

Reducing the weight of objects can reduce manual handling problems e.g. replacing 50kg bags by 25kg
bags. Also providing handles and avoiding sharp edges can reduce the risk of accidents.
Selection of Individuals
Suitable selection processes should be used when selecting employees to carry out manual handling.
Employers should also attempt to get employees to recognise and admit their own limitations.
Good Environment and Working Conditions

To reduce the risk of manual handling injury from the environmental conditions, there should be:
• Adequate space and headroom provided
• Floors that are kept clear of obstructions and maintained in good condition
• Avoidance of variations in floor level
• Controls introduced regarding extremes of temperature
• Adequate lighting provided
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Job Rotation
Job rotation can be used to decrease the amount of manual managing that each employee does
throughout the work shift. Job rotation can assist avoid sprains and stress by offering employees with a
modification of activity. The ideal combination of tasks includes a variety of sitting, standing and walking
activities.
Duty of Employees
Employees should follow safe systems of work provided. They must use all mechanical equipment aids
provided safely. They should adhere and put in practice the manual handling training provided to them
by the employer. Employees must also report any muscular skeletal injuries or discomforts faced by them,
for which the employer must ensure they are trained to recognise the symptoms.
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6.3 LOAD-HANDLING EQUIPMENT

Common Types – Hazards and Controls
Manual handling aids can manage the risk of manual handling injuries by decreasing the forces required
to carry out manual handling tasks and enhancing the postures and motions needed to perform the work.
The benefits of using lifting and handling aids are:
• Improved/maintained productivity
• Reduction in retraining costs
• Limiting compensation claims
• Reduction of injury/ill health to employees
Although manual handling aids and equipment can help to

control the risk of injuries, they may create hazards such as:
• Equipment running over feet of handler
• Poor maintenance
• Not designed for the working condition and
environment
• Not user-friendly: difficult to operate
• Poor design
Precautions for safe use of manually operated equipment include:

• Avoidance of uneven ground and slopes.
• Use of ramps over steps.
• Observing the safe working load limits of the truck.
• Securing the load if necessary.
• Using the brakes (if fitted) whenever the truck is stationary.
• Care when moving or lowering the load.
• Safe parking and storage to avoid obstruction.
• Routine inspection and maintenance.
• Use of safety shoes or boots to avoid crush injuries.
Pallets Trucks
These are small trucks with two forks and are used to moving pallets; It is operated by one person.
Hazards from Pallets Trucks

• People can be injured by material falling from the truck
• Overloading causing instability and loss of load
• Electric hazards
• People may be trapped between load and truck
• People may trip over forks of truck
• Manual handling injury of manually operated trucks
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• Crush by load or truck
Precautions
• Conduct risk assessment prior to lifting
• Pre-use check to ensure truck is in good condition and fit for purpose
• Check the wheels to ensure they are not worn out, and no cracks are present
• Plan the lift and the journey making sure the route is clear and free from hazards and uneven
surface
• Ensure sufficient space to operate truck
• Never exceed the advised capacity
• Ensure load is stable and secured
• Regular maintenance
• Use proper lifting techniques when loading/unloading
• Move the load slowly
• When operating manual truck, push the load (never pull the load)
• When going down on an incline go in reverse
• Allocate designated area for storing truck to avoid tripping hazard
People Handling Aids

Compared with the use of manual transfer, the use of appropriate people handling aids to transport
people lessens the forces required for moving and handling people and can reduce the risk of manual
handling injuries. Examples of some people handling aids include:
• Slide sheets – low friction material placed under patient to allow easy repositioning in bed
• Electric profiling beds – electrically operated bed which allow adjustment using hand control set
• Slings – a support used for carrying a client while being moved with a hoist
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• Stretchers – a rigid frame used to transport patient between locations

• Wheelchairs – a mobile chair used to transport person in a sitting position
Hazards from People Handling Aids

• Selection of the wrong size equipment
• Damage of equipment due to lack of maintenance/inspection
• Instability when moving someone resulting in them falling
• Electric beds can be large limiting manoeuvrability around narrow corridors and hospital lifts
• May not be compatible with other equipment
• Some aids, e.g., mobile hoists can be heavy and need strength and effort to move
• Misuse of equipment leading to injury
Precautions or control measures when using people handling aids

• Conduct a risk assessment prior to moving person
• Pre-use check to ensure equipment is undamaged and fit for purpose
• Users need to be trained in proper and safe use
• Make sure the person’s weight does not exceed the SWL
• Slings - ensure there are no signs of fraying, tears or deterioration, etc.; all stitching is present and
intact
• Ensure the environment is free from obstacles
• Make sure there are satisfactory systems in place for maintenance and inspection
• Ensure each piece of equipment is correctly labelled
Powered Load Handling Equipment

Powered equipment has to be located and suitably set up so as to reduce the threats, so far as is
reasonably practicable, from devices striking or a load
striking another individual. A likewise a possibility of loads
drifting and falling easily and being unintentionally
released. Lifting equipment must be positioned and set up
to reduce the requirement to lift loads over individuals and
to prevent crushing in extreme positions. It must be
created to stop securely in the event of a power failure and
not release its load. Any devices, which are guided to follow
a specific/fixed path, will be enclosed with substantial and
appropriate interlocked gates and any required security in
case of power failure.
Forklift truck
There are many different types of forklift truck, but they share a range of common hazards and safety
precautions.
The hazards associated with forklift trucks are:
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Overturn of the truck – the narrow and short wheelbase of the truck makes it unstable, so it can fall
over sideways, or tip forwards or backwards very easily.
We covered some of the poor practices that might cause a forklift truck to fall over in Element 2.
Fall of the load – the load may fall from the forks of the truck onto the driver, or onto others standing
nearby during a lifting operation.
Striking of pedestrians – like all vehicles, a forklift will cause serious injury if it hits a pedestrian.
Fall or entrapment of a person riding on the forks – workers often uses the forks of a forklift as a
working platform. This practice may result in a fall from height, or the worker becoming trapped between
the mast of the forklift and fixed structures.
Fall from loading dock – another common accident, where the forklift truck either falls through or off
the loading dock that it was driving over to access the back of a lorry.
The engine type of the forklift truck is also a source of concern.
Precautions
The precautions for safe use of forklift trucks include:
• Restricting use to trained operators only.
• Routine visual inspection of the truck before use.
• Routine maintenance of the truck in accordance with the manufacturer’s recommendations.
• Never using the forklift to lift people unless a proper working platform is attached.
• Ensuring that the load on the forks is secure and stable.
• Ensuring that the safe working load limits of the truck are not exceeded.
• Observing site speed limits.
• Never travelling with the forks raised.
• Never travelling with obstructed vision.
Hoists
Hoists are used extensively in the workplace and vary from
the basic chain hoist often known as a block and tackle to
construction hoists used to carry material and people.
There are also hoists which are designed to lift people in
hospitals etc.
The hazards of hoists are:

• Failure of the chains, slings, etc.
• Struck by the moving components of the hoist
• Being hit by materials falling from the platforms
• Falling down the hoist way from a platform
• Hitting against landing levels riding goods hoists
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Precautions when using hoists

• Controls only operated from one position
• Clear visibility of landings
• Secure objects being carried on goods hoists
• Avoid overfilling items on goods lifts
• Do not carry loose items on goods lifts
• No passengers on goods lifts
• Safe working load clearly marked
• Hoist properly examined and tested
• Suitable fencing and gates at all levels
• Training in use of hoists
Conveyors
Conveyors are used in all types of workplaces from supermarket checkout to quarries and construction
sites. There are three basic types of Conveyor, and these are:
Belt Conveyor
Materials are transported on a moving belt. Trapping points are
created between the belt and the rotating drum. Guards can be
fitted enclosing the sides.
Screw Conveyor
Materials are pushed forward by a rotating screw. Screw
conveyors can cause terrible injuries and should be guarded or
covered at all times. A locking-off system is required for
maintenance and repairs.
Roller Conveyor
The various types of rollers are:
• Power Driven Rollers: guards are required on power drives and in-running nips.
• Powered and Free Running Rollers: guards are required between each pair of powered and free
running rollers.
• Free Running Rollers: no nips occur on these, but injuries can happen when people try to walk
across them. This problem can be solved by providing walkways.
Hazards of Conveyors
• Trapping limbs can be drawn into in-running nips
• Contact with moving parts, for example, drive components, and screw conveyors
• Entanglement with roller, drive mechanisms
• Striking products falling from heights, incorrectly handled
• Effect-- e.g. striking head
• Products falling off
• Slips-- fall under rollers
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• Manual handling of material

• Sound: mechanical movements produce sound
Control Measures
• Warning alarms or sirens to alert people that the belt is about to start moving.
• Guarding of moving parts to prevent drawing in and entanglement, as far as is possible.
• Ensuring that emergency stop buttons or pull-cords are fitted and available for use.
• Barriers to exclude people from the area (protects also from falling objects).
• Fitting guards underneath overhead conveyors to catch falling objects.
• Information, instruction and training for operators.
• Controlling loose clothing and long hair, e.g. by the use of overalls and hairnets in the workplace.
• Maintenance by authorised persons only to ensure safe running.
• Provision of a defect reporting system.
Cranes
The principal hazards associated with any lifting operation using cranes are:
• Overturning can be caused by weak support, operating outside the machine’s capabilities and by
striking obstructions (Not relevant to overhead gantry crane)
• Overloading by going beyond the operating capacity or running radii, or by failure of safety
gadgets
• Accident with other cranes, overhead cable televisions or structures
• Failure of Support by placing over cellars and drains, outriggers not extended, made-up or not
solid ground
• Loss of Load from failure of lifting tackle or slinging procedure
• Failure of load bearing part
• High winds can affect the stability of outdoor lifting operations
Safety measures when using cranes

A number of safety measures should be incorporated for the safe operation of the crane. These include:
Ensuring the crane or lifting device is of the correct type for the job and terrain; that it is strong and
stable.
• Ensuring that the load to be lifted is within the safe lifting capacity of the crane (which should be
clearly marked on the crane) – safe lifting capacity will vary with the length of the jib and the
distance away from the crane that the jib is positioned (radius), so capacity can vary from one
lift to the next.
• Carefully siting the crane on even, stable ground in a safe position away from structures or
overheads that might be struck during the lifting operation.
• Using the outriggers correctly.
• Checking that the crane has been maintained and has a certificate of thorough examination in
accordance with local laws.
• Restricting use of the crane to trained and competent operators.
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• Ensuring that each lift is planned and supervised by a competent person and that the driver and
slinger are competent.
• Providing a banksman to give directions to the crane operator, with good means of
communication between driver and other operators.
• Ensuring that safety devices such as overload indicators are operational and are used correctly –
these devices are frequently disabled, or ignored by the crane operator.
• Checking that there are no obstructions, such as buildings or overhead lines, in the vicinity of
the lift.
• Checking weather conditions and obeying any manufacturer’s recommendations about
maximum wind speed.
• Lifting the load as close to the ground as possible; never lifting the load directly over a person.
• Using PPE, such as hard hats, steel toe-cap boots and high-visibility clothing.
• Using signs to warn of the operations and exclusion of personnel from the area.
Lifting Accessories
It is also important to consider the lifting accessories that are used to attach the load to the crane: items
such as chains, wire ropes, nylon slings, or eye-bolts and shackles. These must be:
• In good condition.
• Fitted to the load by competent people.
• Regularly checked by pre-use visual inspection and subjected to thorough examination as dictated
by local law.
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Operations – Planned and Supervised

All lifting activities should be suitably planned by a Competent Person, appropriately supervised and
carried out in a safe manner. The person planning the lifting operation should have adequate practical
and theoretical knowledge and experience of planning lifting operations. The plan should address the
risks identified by a risk assessment and determine the resources required, the procedures, and the
responsibilities so that the operation is carried out safely.
Inspection and Examination of Lifting Equipment

When the equipment is selected and put into service, it should be thoroughly examined by a competent,
independent and impartial person. Also, equipment must be thoroughly tested at regular intervals. The
person making the thorough examination should notify any defects to the Employer immediately, and a
written report must be produced. The reports should be kept until the next inspection for reference
purposes.
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Summary
This element has dealt with manual and mechanical-handling hazards and the associated control
measures. In particular, it has:
• Described the key types of musculoskeletal disorders, including back injuries; work-related upper
limb disorders (WRULDs).
• Identified the musculoskeletal disorders associated with poor design, and identified factors that
influence ergonomic risk, such as repetition, force, posture, twisting, rest breaks, equipment
design and adjustability, and workplace lighting.
• Explained how the workplace should be matched to individual needs, using ergonomic principles.
• Outlined the ill-health effects of poor task and workstation design, as well as the risk factors that
influence the risk of musculoskeletal disorders.
• Described appropriate control measures to reduce the risk of musculoskeletal disorders, including
the application of ergonomic principles to DSE use.
• Outlined the main types of injury associated with manual handling as musculoskeletal disorders,
such as injury to the back, tendons, ligaments, muscles and Work-Related Upper Limb Disorder
(WRULD).
• Described the four main factors that have to be considered during a manual handling risk
assessment: the task, the load, the environment, and individual capabilities.
• Explained how risk associated with manual handling can be controlled by automating or
mechanising the handling; using handling aids; modifying the task, load or environment; and by
ensuring individual capabilities are matched to the activity.
• Noted the basic principles of safe lifting technique before the lift, during the lift, and when setting
down.
• Considered the hazards and safety precautions associated with different types of lifting and
moving equipment, such as pedestrian (manually) operated trucks, including people-handling
aids, and powered equipment, such as forklift trucks, lifts, hoists, conveyors and cranes.
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ELEMENT 7: CHEMICAL AND BIOLOGICAL AGENTS
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Learning outcomes
7.1 Outline the forms of, the classification of, and the health risks from exposure
to, hazardous substances.
7.2 Describe what should be considered when undertaking an assessment of

the health risks from substances commonly encountered in the workplace.
7.3 Outline the use and limitations of occupational exposure limits including the
purpose of long term and short term exposure limits.
7.4 Outline control measures that should be used to reduce the risk of ill-health
from exposure to hazardous substances.
7.5 Outline the hazards, risks and controls associated with specific agents.
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7.1 HAZARDOUS SUBSTANCES

Forms of Substances
Chemical agents may take the form of a Solid, Liquid or Gas. A substance can be in any one of these forms,
depending upon the pressure and temperature. A good example here would be that of water, at normal
room temperature, water is liquid, but when it is frozen, it is in the form of a solid (ice), and it turns to gas
when heat is applied above its point of boiling.
Dust
Very small solid particles normally created by grinding, polishing, milling, blasting, etc. and capable of
becoming airborne (e.g. flour dust, rock dust).
Aerosol
The term aerosol implies that airborne particles are carried in or contained in air, which may be inhaled.
An aerosol can embrace liquid droplets as well as solid particles.
Fibrogenic
Some dust is fibrogenic, i.e. they cause fibrotic changes in lung tissue, or toxic, in that they eventually
poison the body systems.
Gases
These are formless fluids usually produced by chemical processes involving combustion or by the
interaction of chemical substances. Gases tend to occupy the space completely to which they are released
to. One of the hazardous gases encountered in industry is carbon monoxide. Certain gases such as
acetylene, hydrogen and methane are particularly flammable. Gas is produced from substances where
the boiling point is below ambient temperature so that they normally exist in gaseous form. For
occupational exposure, they can be divided into two categories, asphyxiants (e.g. nitrogen, methane,
acetylene) and those with occupational exposure limit values (e.g. carbon monoxide, carbon dioxide,
sulphur dioxide). The former category reduces the oxygen content to such an extent that life cannot be
supported - monitoring the oxygen content is the best way of ensuring safety.
Vapours
Vapour is the gaseous form of a material normally encountered in a solid or liquid state at normal room
temperature and pressure. Typical examples are solvents, such as trichloroethylene, which release
vapours when the container is opened. Other liquids produce a vapour on heating; the amount of vapour
is directly related to the boiling point of that particular liquid.
Mists
Mist is a finely dispersed liquid suspended in air. Mists are mainly created by spraying, foaming, pickling
and electroplating. Dangers arise most frequently from acid mists produced in industrial treatment
processes. Also, some water mists are known to contain legionella. Mist is made up of fine particles of
water containing liquid or solid material.
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Biological Agents
Fungi
Fungi are plants but lack chlorophyll, the essential element for photosynthesis, and must have organic
matter as part of their food. They include yeasts and moulds. They can cause disease in plants and animals
and cause food to decay. They also have benefits as food (mushrooms) and medicines (e.g. penicillin).
Bacteria
Bacteria are single-celled organisms and are found everywhere, in the soil, on and in people and animals,
in air, water and on / in food. Bacteria or more commonly germs are microscopic, i.e. cannot be seen with
the naked eye. Bacteria come in many shapes and sizes. They are killed by antibiotics. Many food
products are heat treated (pasteurised) to kill off bacteria to improve the shelf life of the food product,
e.g. milk is pasteurised destroying much of the bacteria naturally present in the milk. Example: salmonella,
leptospirosis.
Viruses
Viruses are smaller than bacteria and are visible only with an electron microscope. They can only
reproduce within a living cell. Each type of virus requires a specific host cell to infect and subsequently
multiply. Once they have infected a cell, they reproduce rapidly and spread to other cells, destroying
them as they go. Antibiotics are not effective against viruses, although vaccines exist for some. Viruses
can also be destroyed by disinfecting chemicals such as bleach. There are many different types of viruses
known and can cause a range of infections from those which are inconvenient, e.g. the common cold, to
those who are deadly, e.g. rabies, AIDS, etc.
Classification of Chemical Substance

Chemicals can be broadly classified according to three types of danger:
• Physico-chemical effects – such as highly flammable, explosive or oxidising.
• Health effects – such as toxic or carcinogenic.
• Environmental effects – such as harmful to aquatic life.
In this element we are concerned with the health effects. These can be further subdivided to give a variety
of classifications that indicate how the chemical actually affects health.
Classification of chemicals hazardous to health:

Irritant: Non-corrosive substances, which, through immediate, prolonged or repeated contact with the
skin or mucous membrane, may cause inflammation, e.g. petrol, detergent, nuisance dust.
Corrosive: Substances, which, on contact with living tissue, may destroy it by burning, e.g. hydrochloric
acid or strong alkalis such as ammonia.
Harmful: Substances, which, if swallowed, inhaled or penetrate the skin, may cause damage to health.
E.g. trichloroethylene
Very Toxic: Poisonous substances, which, in very low quantities, may cause death, acute or chronic
damage to health e.g. cyanide
Toxic: A poisonous substance, which, in low quantities, may cause death, acute or chronic damage to
health e.g. Lead, Mercury, Arsenic and Pesticides.
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Carcinogenic: Substances, which cause disorders to cell growth that may lead to cancer or increase its
incidence.
Mutagenic: Substances which induce heritable genetic defects or increase their incidence.
Teratogenic: Toxic for reproduction. Substances, which produce or increase the incidence of non-
heritable effects in progeny and / or impairment in reproductive functions or capacity.
HARMFUL/ IRRITANT
CORROSIVE
TOXIC/ VERY TOXIC
CARCINOGENIC/
MUTAGENIC/
TERRATOGENIC
Health Effects
Acute Effects
Acute effect as a result of exposure to high levels of the substance, sometimes over very short periods of
time, and usually quite quickly after exposure begins (seconds, minutes, or hours), e.g. exposure to high
concentrations of chlorine gas causes immediate irritation to the respiratory system.
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Chronic Effects
The chronic effect is produced as a result of prolonged exposure or repeated exposures of long duration.
The concentration of the offending agent may be low in both cases. One single prolonged exposure can
result in chronic effects. Chronic effects are often irreversible with the effect being unrecognised for a
number of year’s e.g. systemic effects of lead.
Note that many hazardous substances can have both acute and chronic effects. For example, exposure to
high concentrations of organic solvent can have a narcotic effect (acute); daily exposure to much lower
levels can cause liver damage if it continues for many years (chronic). Alcohol is another toxic substance
that has both acute and chronic health effects. Specific examples of chemical and biological agents
hazardous to health, and outlines of their health effects, are provided later in this element.
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7.2 ASSESSMENT OF HEALTH RISKS

Routes of Entry
Inhalation
The substance is breathed in through the nose
and mouth and down into the lungs. This is a
significant route of entry for many hazardous
substances in gas, vapour, mist, fume or dust
form. People have to breathe; if the hazardous
substance is present in the air around them then
it will be inhaled. Dust can be inhaled through
the nose and mouth in this way, but not all dust
will travel down into the lungs. Dust is made up
of small particles of various sizes (diameters).
Large dust particles are filtered out by the lungs’
defence mechanisms before they can travel
down into the lungs; smaller particles are not
trapped by these defences and will travel deep
into the lungs. Inhalation is likely to be the major
route of exposure to a hazardous substance, and
it is often the most difficult exposure route to
control. Even with simple operations like
pouring or tipping solvents into vessels, vapours
can be generated. There are five types of
material that can be inhaled, namely - Fumes,
Vapours, Gases, Mists and Dust.
The defence mechanisms of the respiratory system include:

• The hair and wetness of the nose, which takes air in an upwards direction
• The change of direction to the larynx. This results in dust above 10 microns being deposited in
the nasal cavity
• Sneezing and coughing to remove inhaled harmful substances
• Centrifugal (outward) motion. The respiratory tract is so shaped that air travelling through it is
given a turbulent motion, which tends to throw dust (5 to 10 micron) outwards to stick on the
surface of the tract. Tiny hairs in the tract (cilia), which wave back and forth and carry particles,
back up to the larynx. This is known as the ciliary escalator. The particles are either spat out or
swallowed
• White blood cells called macrophages in the alveoli, which attack foreign bodies such as asbestos
fibres, silica, wood dust, etc. by either ingesting them or surrounding them.
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Skin Contact / Absorption

Skin is almost constantly being exposed to chemicals, some of which will damage the skin, while others
have the ability to penetrate, causing toxic systemic effects. Absorption through the skin is more usual,
although absorption through mucous membranes should also be considered.
The defence mechanisms of skin include the below.

• The sebum secreted by the sebaceous glands of the dermis will provide protection against water
and against weak acids and alkalis. Sebum also prevents the skin drying out when subject to heat
and friction. This protection can be broken down by high concentrations of corrosive substances,
excessive abrasive action, burns or de-fatting. It can also be removed by the use of solvents,
unintentionally or deliberately.
• The sensory nerve cells are also an important defence mechanism, alerting the brain to
temperature changes and prompting involuntary defence action by the muscles (shivering).
• Protection against ultra violet light is provided by the melanin pigment cells, which tan on
exposure to sunlight.
• Blisters, rashes and inflammation are all examples of the body defence system reaction to damage
or attack and result from increased flow of blood, antibodies and white blood cells to the affected
area.
Ingestion
Ingestion involves the swallowing of a liquid or solid substance. As it is not likely that a worker would
deliberately do this, harm to health would arise through contamination of food. The likely effect of
swallowing sufficient quantities of harmful substances will often be upsetting to the gastrointestinal tract
(e.g. stomach ache, vomiting and diarrhoea). Examples of substances, which if ingested - even in small
concentrations - could cause serious health effects, are usually covered by specific legislation; for instance,
lead and asbestos.
The defence mechanisms of the digestive system include:

• Saliva in the mouth provides useful defence mechanism to substances which are not excessively
acid or alkaline or in large quantities.
• Stomach acid and various enzymes and bacteria: If any ingested substance is to harm the body it
has to survive the acids in the stomach and the various enzymes and bacteria within the digestive
tract, which attack and try to break down such substances. Some harmful substances or
microorganisms will cause an immediate reaction in the body causing the defence mechanisms of
vomiting and diarrhoea.
Injection
Injection, also referred to as skin puncture is caused by contact with liquids and or gases under pressure
or from the accidental puncture of the skin with contaminated sharp objects (e.g. needle-stick injuries in
hospitals). The effects on the health of the person from hazardous substances may be either acute or
chronic.
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Effects of Exposure
Target Organs
Many dangerous substances, when taken into the body, are deposited in and act upon a particular body
organ (target organ) and / or a particular body system (target system). The most common target organs
are the lungs, liver, bladder, skin and brain, and the most common target systems, the central nervous
system, circulatory system, reproductive system and the urinogenital system. The term harmful agent is
the name given to an element that is deemed harmful to the person; these harmful agents fall into two
categories:
• Chemical Agents, typically dusts, fume, mists, vapours and liquids
• Biological Agents for example viruses, bacteria fungi, etc.
Both categories of harmful agents can cause local and systemic effects. The effects of exposure to
hazardous substances may be immediate or delayed, and they may be reversible or irreversible. There are
two main ways in which chemicals may exert their effects.
• Local effects -Occur at the area of the body which has been in contact with the chemical.
Examples are injuries from acid burns on the skin.
• Systemic effects - Occur after the chemical has been absorbed and distributed from the entry
point to other parts of the body. An example is tetraethyl lead, which when absorbed through the
skin produces skin effects at the contact point. It then travels further into the body affecting the
central nervous system and other organs
Assessment of Health Risk

Where workers might potentially be exposed to hazardous substances through the course of their work,
it will be necessary to assess that potential to ensure that harm does not occur. Though the exact form of
this assessment may vary, depending on local regulation and codes of practice, some general principles
can be applied:
• Identify the hazardous substances present and the people who might potentially be exposed.
• Gather information about the substance.
• Evaluate the health risk.
• Identify any controls needed and implement them.
• Record the assessment and action taken.
• Review.
When identifying the hazardous substances present in the workplace, remember that they can be created
by work processes. For example, welding metal creates a metal fume; mixing bleach and acid together
can create chlorine gas. These hazardous substances do not come pre-packaged and labelled, but are
created by the work process. You can collect together information about hazardous substances by
referring to various information sources. The information then has to be used to evaluate the health risks
associated with the actual work practices. All these factors have to be taken into account when
undertaking the assessment; the adequacy of any existing control measures can then be decided and
additional controls and precautions selected.
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The factors which could be taken into account during the assessment:
• Hazardous nature of the substance present – is it toxic, corrosive, carcinogenic, etc.?
• Potential ill-health effects – will the substance cause minor ill health or very serious disease, and
will these results from short-term or long-term exposure?
• Physical forms that the substance takes in the workplace – is it a solid, liquid, vapour, dust,
fume, etc.?
• Routes of entry the substance can take in order to cause harm – is it harmful by inhalation,
ingestion, skin absorption, etc.?
• Quantity of the hazardous substance present in the workplace – including the total quantities
stored and the quantities in use, or created at any one time.
• Concentration of the substance – if stored or used neat or diluted, and the concentration in the
air if airborne.
• Number of people potentially exposed and any vulnerable groups or individuals – such as
pregnant women, or the infirm.
• Frequency of exposure – will people be exposed once a week, once a day or continuously?
• Duration of exposure – will exposure be very brief, last for several hours, or last all day?
• Control measures that are already in place.
Sources of Information
Information about the nature of a hazardous substance can be obtained from many different sources,
but three of the most commonly used sources are product labels, manufacturers’ safety data sheets and
any relevant exposure limits.
Product labels
It is becoming more common for labels to be applied that comply with the requirements of more than
one country, and classification and labelling of substances is being harmonised through the
implementation of the UN Globally Harmonised System (GHS). Usually, a label will carry the following
information:
• The name of the substance/preparation.
• Some idea of the components that make the product hazardous.
• An indication of the danger, which may be by specific warning phrases or symbols, or a
combination of both.
• Basic precautions to take (things to avoid, or PPE to wear, etc.).
• Name, address and telephone number of the supplier.
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UK HSE List of Workplace Exposure Limits (EH 40)

The main purposes of a COSHH assessment are to effectively control the exposure of others and
employees to hazardous substances. This means that such substances should be reduced to levels which
do not pose a health threat to those exposed to them day after day at work.
Safety Data Sheets

If a chemical is dangerous, suppliers must provide information about the hazards the chemical presents
to humans and the environment. In addition to the label, suppliers must provide a safety data sheet.
Safety data sheets provide detailed information that is used when making a substance risk assessment.
Many companies make the mistake of believing that the safety data sheet is an assessment and that by
obtaining and filing the sheets they are complying with the law. This is not the case. Obtaining the data
sheets is one of many steps involved in a COSHH assessment. Manufacturers of hazardous substances are
obliged to freely supply such sheets to users giving details of:
• Identification of the substance/preparation and company.
• Composition/information on ingredients.
• Hazards identification.
• First-aid measures.
• Fire-fighting measures.
• Accidental release measures.
• Handling and storage.
• Exposure controls/personal protection.
• Physical and chemical properties.
• Stability and reactivity.
• Toxicological information.
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• Ecological information.
• Disposal considerations.
• Transport information.
• Regulatory information (i.e. occupational exposure limits).
• Other relevant information.
Role and Limitation of Hazardous Substance Monitoring

Monitoring of exposures at the workplace should be carried out where the risk assessment indicates that:
It is essential for the maintenance of adequate control of exposures, or it is otherwise requisite to protect
the health of employees. A hazardous substance assessment may determine that the air monitoring of
hazardous materials should be undertaken. This will not always be required, particularly where exposure
by the airborne route is not significant e.g. for low hazard water based components. However in many
instances, this will be advisable; many hazardous materials have Exposure Limits assigned to them, and in
order to determine whether the exposure is within limits, some form of monitoring shall be required.
In particular, monitoring is required where: the material is carcinogenic, mutagenic, harmful for
reproduction or sensitising. Such materials have Exposure Limits for which exposure ‘as low as is
reasonably practicable’ should be achieved. Assurance is required that a control measure is working
correctly. There is a significant change in process, and some assurance is sought that exposure to staff is
at an acceptable level. It is specified in legislation or standards. If monitoring is required it should be
undertaken on a regular basis as an ongoing confirmation of control. The more hazardous the process,
the greater the re-assurance required that controls is operating satisfactorily.
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7.3 OCCUPATIONAL EXPOSURE LIMITS

Purpose of Occupational Exposure Limits (OEL)
The workplace exposure limit is related to the
concentration of airborne hazardous substances that
people breathe over a specified period of time – known
as ‘time weighted average’ (TWA). Before the
introduction of OELs, there were two types of exposure
limits published – the maximum exposure limit (MEL)
and the occupational exposure standard (OES). The UK
COSHH (Amendment) Regulations 2005 replaced the
OES and MEL system with a single Workplace Exposure
Limit (WEL).
Long Term and Short Term Limits

Hazardous substances which have been assigned a WEL fall into two groups:
• A substance which is carcinogenic or mutagenic (having a risk phase R45, R46 or R49) or could
cause occupational asthma (having a risk phase R42, or R42/43 or listed in section C of the HSE
publication ‘Asthmagen’. The level of exposure to these substances should be reduced as far as is
reasonably practicable.
• All other hazardous substances which have been assigned a WEL. Exposure to these substances
by inhalation must be controlled adequately to ensure that the WEL is not exceeded. For these
substances, employers should achieve adequate control of exposure by inhalation by applying the
principles of good practice outlined for example in the UK COSHH approved code of practice.
The workplace exposure limits are subject to time-weighted averaging. There are 2 such TWA:
• The long-term exposures limit (LTEL) or 8 hour reference period, and
• The short-term exposures limit (STEL) or 15 minute reference period.
The 8 hour TWA is the maximum direct exposure permitted over 8-hour duration so that if the exposure
duration was less than 8 hours the office direct exposure limit is increased accordingly with the proviso
that direct exposure above the LTEL value continues for not than 1 hour.
Substances without a WEL

The fact that a substance has not been allocated a WEL does not mean that it is safe. The exposure to
these substances should be controlled to a level to which nearly all of the working population could be
exposed all the time without any adverse effects to their health.
Significance of Time Weighted Average

A worker can be exposed to different levels of inhalation of a hazardous substance throughout the
working day. At some times, they may be exposed to high levels of contaminant; at other times, the
exposure level may be low. In many cases, it will not be practical to measure an individual’s exposure for
all of the working period.
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A time-weighted average is equal to the sum of the part of each time period, which is multiplied by the
exposure level of the contaminant in that time period. It is then divided by the hours in the working day
(usually eight hours) and the level indicated as a time-weighted average (as seen above). That is, the
average of all the total exposures in the working day. This can be significant where the concentration of
the chemical changes through the day, of the time exposure varies.
Limitations of Exposure Limits

There has been some time spent discussing occupational exposure limits, and these course notes should
be a useful guide, but like a lot of things in life, there are some limitations that need to be kept in mind.
The more obvious limitations are:
• The actual doses received by workers can and do vary due to factors like their work rate. Such
eventualities are not allowed for in the exposure limit framework
• Errors in estimating exposure(s) may be significant
• Toxicological data on which limits are not themselves infallible
• Chemicals can enter the body by routes other than that of inhalation, as previously discussed e.g.
by absorption
• Many substances do not have assigned limits. This means an organisation with limited technical
expertise has the difficult task of setting an ‘in-house’ limit.
International Variations and Attempts at Harmonisation

Not all substances are assigned an OEL, and there are differences in assigned limits from country to
country, this being due to the fact that there is no international agreement on limits, although
harmonisation of standards, Indicative Occupational Exposure Limit Values (ILV) was agreed in Europe in
2004 / 2005. In the UK, for example, exposure limits are published annually in the HSE Guidance Note
EH40; internationally the most influential OELs are those published by the American Conference of
Governmental Industrial Hygienists (ACGIH).
Limits are published as:

• Threshold Limit Values (TLV) in the USA
• Indicative Limit Values (ILV) Europe, and
• Workplace Exposure Limits (WEL) in the UK
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7.4 CONTROL MEASURES

Prevention and Control
Prevention is the safest and most effective of the control measures and is achieved either by changing the
process completely or by substituting for a less hazardous substance (the change from oil-based to water-
based paints is an example of this). It may be possible to use a substance in a safer form, such as brush
paint rather than a spray.
A risk control hierarchy is a structured approach whereby for each hazard a set of action options is
considered. The control options are:
• Elimination of the hazard(s)
• Reduce risks via substitution
• Isolate the person(s) from the hazard
• Control and monitor
• Discipline
When hazardous substances are considered for use (or in use) regulations impose duties on employers
and require employees to co-operate with the employer. Principal requirements are:
• Companies must undertake a sufficient and appropriate assessment.
• Companies need to prevent or sufficiently manage the direct exposure of their employees to
substances harmful to health.
• Companies and employees must make appropriate use of any control determines supplied.
• Employers must maintain control steps and keep appropriate records.
• Tracking and health surveillance of any employee exposed to specific items noted.
• Emergency situation plans and procedures need to be prepared to handle mishaps or incidents
involving direct exposure to hazardous substances.
Employees exposed to substances harmful to their health must be given instruction, info and training
adequate for them to understand the health threats created by the direct exposure and the preventative
measures which should be taken.
Principles of Good Practice

The following principles of good practice exist with regard to controlling exposure to hazardous
substances:
• Minimisation of emission, release and spread of hazardous substances through design and
operation of processes and task activities. Wherever possible, processes should be modified to
remove the hazardous substances altogether, to make use of a less hazardous alternative, or, if
that is not possible, a work process should be designed, which controls the substance at source.
This can be achieved in many ways, e.g. by totally enclosing the substance so that a worker
cannot come into contact with it, or by providing engineering controls, such as extraction.
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• Accounting for relevant routes of entry into the body when developing control measures for
hazardous substances. This will give clear indication of the type of control required, whether
personal or collective control is needed, and the level of control necessary (based on toxicity).
• Exposure control that is proportional to health risk. Greater resources should be used to combat
the greatest hazards; therefore, the level of control will usually be highest for the most
hazardous substances.
• Effectiveness and reliability of control options that minimise the escape and spread of
hazardous substances. Elimination is clearly the most reliable control option, as, once
eliminated, the chemical is no longer an issue. However this is not always possible, so other
controls must be selected carefully. Controls that rely on the worker to implement them are less
likely to be successful, e.g. portable extraction to be used when welding may be forgotten, or
used incorrectly.
• Use of Personal Protective Equipment (PPE) in combination with other control measures, if
adequate control cannot otherwise be achieved. Specifically, respiratory protective equipment
may be required if airborne concentrations are still considered too high (e.g. exceeding an OEL).
• Regular checks and review of the control measures that are in place to ensure that they remain
effective. These control measures should be in place, actually used by workers and maintained
in an efficient state. Defects should be reported and corrective actions taken.
• Provision of information and training to those working with hazardous substances so that they
are fully aware of the risks presented by exposure and the correct measures to minimise those
risks.
• Ensuring that any control measures implemented do not increase the overall risks to health and
safety.
Implementing the Principles of Good Practice

Several measures are commonly used to implement the principles outlined above and adequately control
exposure.
Elimination or Substitution
It may be possible to eliminate or substitute the substance by:
• Eliminating the process or type of work that requires the use of the substance (e.g. outsourcing
a paints praying operation).
• Changing the way that the work is done to avoid the need for the substance (e.g. securing with
screws rather than gluing).
• Disposing of unused stock of the substance that is no longer required.
• Substituting the hazardous substance by using anon-hazardous one (e.g. switching from an
irritant to anon-hazardous floor cleaner).
• Substituting the hazardous substance by using one that has a lower hazard classification (e.g.
switching from a corrosive substance to an irritant substance).
• Changing the physical form of the substance to one that is less intrinsically harmful (e.g. massive
solid rather than powder).
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Process Change
It may be possible to change the process so as to reduce the risks associated with the substance. For
example:
• Applying a solvent by brush rather than by spraying reduces airborne mist and vapour.
• Vacuuming rather than sweeping keeps dust levels down.
Reduced Exposure Times

There is a simple relationship between the lengths of time a person is exposed to a hazardous substance
and the dose of substance that they receive: double the time, double the dose; half the time, half the
dose. It is therefore sensible to minimise the time period over which people work with hazardous
substances, especially where those substances can have an acute effect. Exposure may also be limited by
occupational exposure limits, which we considered earlier.
Enclosure and Segregation

It may be necessary to totally enclose the hazardous substance – inside process machinery, storage tanks,
etc.-on a small or large scale. For example, flour dust used in an industrial bakery can be totally enclosed
in silos, storage tanks and direct-dosed mixing machinery and moved from one to the other by sealed
pipelines. Hundreds of tonnes of flour dust might be handled in this way without the dust escaping into
the workplace environment.
Segregating the hazardous substance in the workplace may also be a possibility; it might be stored in a
segregated storage area and used in an area away from other work processes and unauthorised
personnel.
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Local exhaust ventilation
Ventilation is the procedure of supplying fresh air to an enclosed space in order to refresh/remove/
replace the existing environment. Ventilation is typically
utilised to get rid of contaminants such as fumes, cleans
or vapours and provide a safe and healthy workplace; in
other words, it is an engineering control. Ventilation can
be achieved by natural means (e.g., opening a window)
or mechanical means (e.g., fans or blowers). By itself, the
term does not show whether the tired air is filtered or
cleaned up before being discharged. For maximum
effectiveness, the degree of enclosure of the process
should be as complete as possible.
LEV systems incorporate a number of principal features,

namely:
• A hood, enclosure or another inlet to collect and contain the offending agent close to the source
of its generation;
• Duct to transport the contaminant away from its source
• A filter or other air-cleaning device to remove the contaminant from the extracted air stream;
(note. The filter should normally be located between the hood and the fan.)
• A fan/another air-moving device to provide the necessary airflow;
The design of the LEV system needs to consider the need to remove specific contaminates and periodically
thereafter the LEV system should be tested and inspected to ensure that it is operating within its design
criteria.
The effectiveness of an LEV system will be reduced by:

• Poorly positioned intake hoods.
• Damaged ducts.
• Excessive amounts of contamination.
• Ineffective fan due to low speed or lack of maintenance.
• Blocked filters.
• Build-up of contaminant in the ducts.
• Sharp bends in ducts.
• Unauthorised additions to the system.
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LEV systems should be routinely inspected and maintained to ensure their ongoing effectiveness. This
may include:
Routine visual inspection – to check the integrity of the system, signs of obvious damage and build-up
of contaminant both outside and inside the ductwork. Filters should be visually inspected to ensure they
are not blocked and the exhaust out-feed should be checked.
Planned preventive maintenance – may include replacing filters, lubricating fan bearings and
inspecting the fan motor.
Periodic testing – to ensure that air velocities through the system are adequate. This can be done by
visual inspection of the intake hood using a smoke stick, measuring air velocities at the intake and in the
ductwork using anemometers, and measuring static pressures using manometers and pressure gauges.
Dilution Ventilation
Use and Limitations

General dilution ventilation involves the forced introduction of large volumes of fresh air to dilute the
concentration of an airborne contaminant in the work area. The main advantage of this is that it usually
only involves a fan for the introduction of the air. However, there are a number of disadvantages. The
large volumes of air required to dilute contaminants to a safe limit can pose significant problems. The
large quantity of air being brought in from outside is likely to give higher levels of air movement than is
comfortable (draughts) and also is likely to cause a large loss of energy through the displacement of warm
air with cold. Dilution ventilation is most successfully used to control vapours, e.g. organic vapours from
low-toxicity solvents, but is seldom successfully applied to dust and fumes, as it will not prevent inhalation.
Control Maintenance
There needs to be a system of adequate control in place for normal operating conditions as well as for
emergency situations and maintenance. Engineering controls will only be and remain effective if there is
a robust system of maintenance, this normally takes the form of a preventative maintenance (PPM)
scheme. In terms of health and safety, maintenance is required to ensure that the equipment does not
deteriorate to a level that it creates a hazard to personnel. It is obvious that safety related equipment
such as guards and equipment fitted to remove hazards, such as ventilation equipment, must be
maintained to ensure efficient working at all times.
Respiratory Protective Equipment

Respiratory protection equipment can be sub-divided into two categories Respirators (or face masks),
which filter and clean the air and Breathing apparatus which supplies breathable air.
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Respirators - should not be worn in the air which is dangerous to health, including oxygen deficient
atmospheres. They are available in several different forms, but the common ones are:
• Filtering Half Mask - A filtering half mask often called disposable respirator made of the filtering
material.
• Half Mask Respirator - Made of rubber or plastic and covers the nose and mouth. Air is drawn
through a replaceable filter cartridge.
• Full Face Mask Respirator - Similar to the half mask type but covers the eyes with a visor
• Powered Respirator - A powered respirator – a battery-operated fan delivers air through a filter
to the face mask, hood, helmet or visor.
Breathing Apparatus - used in one of three forms –

• Self-contained breathing apparatus - This is where the air is supplied from compressed air into a
cylinder and forms a completely sealed system.
• Fresh air hose breathing apparatus - Here the fresh air is delivered through a hose to a sealed face
mask from an uncontaminated source.
• Compressed air line apparatus - Air is delivered through a hose from a compressed air line. This
can be either continuous flow or on demand. The air must be properly filtered to remove oil,
excess water and other contaminants and the air pressure must be reduced. Special compressors
are normally used.
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Selection
RPE must be selected carefully to ensure that it is suitable. Factors affecting the suitability of RPE:
• Concentration of the contaminant and its hazardous nature.
• Physical form of the substance, e.g. dust or vapour.
• Level of protection offered by the RPE.
• Presence or absence of normal oxygen concentrations.
• Duration of time that it must be worn.
• Compatibility with other items of PPE that must be worn.
• Physical requirements of the job, such as the need to move freely.
• Shape of the user’s face and its influence on fit.
• Facial hair that might interfere with an effective seal.
• Physical fitness of the wearer.
Health Surveillance
General Principles
Health surveillance is essential where it is needed by regulatory requirements whenever workers are
exposed to hazardous substances; or the employer is encouraged by an occupational health service that
it is needed as part of the safety of workers exposed to hazardous substances, given unique focus on
pregnant and breastfeeding ladies and other susceptible employees or atmospheric and biological
monitoring show that there might be effects on the health of an employee since of direct exposure to
chemicals at work and medical surveillance will assist early detection of ill results.
Use of results
Where results of medical tests or investigations expose scientific or preclinical adverse effects, proper
medical treatment should be offered, and steps must be taken to improve the working conditions and the
environment. In order to avoid more deterioration of their health these measures must include a
reassessment of the threats and matching control procedures of appropriate harmful chemicals, and
suitable medical re-evaluation of the health status of the workers need to be performed periodically. The
outcomes of medical checkups should be utilised to determine health status with regard to direct
exposure to chemicals, and must not be used to discriminate the employee. The results of medical
checkups and biological monitoring ought to be clearly explained to the workers worried.
Keeping of medical records

The conditions under which, and the time during which, records resulting from medical surveillance of
workers need to be kept, the conditions under which they might be communicated or moved and the
procedures essential to keep them confidential. Where there are no acknowledged national laws or
practice, duration of 40 years is suggested for keeping medical monitoring records. Employees should
have access to their own medical records, either personally or through their own doctors. Workers and
their representatives must have access to the results of studies prepared from medical records, where
private workers cannot be determined. The competent authority must make plans in accordance with
nationwide practice to ensure that medical records are kept for facilities that have actually shut down.
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Biological Monitoring
The presence of harmful substances that have already entered the body can only be measured through
biological monitoring. It may involve measuring the substances to which an employee may be exposed to,
or measuring its metabolites (product after breaking down). This could be done by sampling blood, urine
or exhaled breath. Which of these three samples is used depends on how a person is exposed to the
chemical and is processed by his/her body. Biological monitoring is often utilised together with air
monitoring. It is specifically helpful when there is likely considerable absorption through the skin, and
control of your direct exposure depends on personal protective equipment, and your employer needs to
inspect if it is safeguarding you.
Additional Controls for Certain Substances

Stringent requirements should be implemented for the control of carcinogens, mutagens and asthma
inducing substances known as respiratory sensitisers, the suggested control measures include the
following:
• Totally enclose the process and handling, unless this is not reasonably practicable.
• Prohibit eating, drinking and smoking in areas that may be contaminated with carcinogens or
mutagens.
• Regular cleaning of floors, walls and other surfaces as necessary.
• Designating areas which may be contaminated with carcinogens and mutagens using suitable and
sufficient warning signs
• Storing and handling carcinogens and mutagens safely, including the use of closed and clearly
labelled containers.
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7.5 SPECIFIC AGENTS

Asbestos
Asbestos is a fibrous mineral silicate which occurs in several different forms in nature. The three main
types are:
• White (Chrysotile)
• Brown (Amosite)
• Blue (Crocidolite)
Historically, they have been incorporated into many building parts such as roofs (asbestos cement),
ceilings (ceiling tiles), walls and ceilings (in fire breaks), floors (floor tiles), pipes (downpipes), decorative
plasters and insulation (pipe lagging). It may also be found as asbestos rope or gaskets in old equipment
such as furnaces, chemical pipework, or boilers.
White Asbestos is less likely to cause disease. However whenever asbestos dust is generated and may be
inhaled a hazard exists.
There are three major diseases by exposure to asbestos, and these are:
Asbestosis (Lung tissue is replaced by fibrous tissue) - asbestos fibres lodge deep in the lungs and
cause scar tissue to form. If enough of the lung is scarred then severe breathing difficulties occur.
Asbestosis can prove fatal and increases the risk of cancer.
Mesothelioma (Causes tumours) - asbestos fibres in the lung migrate through the lung tissue and into
the cavities around the lung and trigger the development of cancerous growths in the lining tissue.
Always fatal.
Lung cancer - asbestos fibres in the lung trigger the development of cancerous growths in the lung
tissue. Usually fatal.
Managing Asbestos in Buildings

The occupiers and owners of buildings should be aware of the presence of asbestos. In some countries
there is a legal requirement for them to put in place an asbestos management plan and hold an asbestos
register; these will identify locations where asbestos has been found (or could be found), the types of
asbestos present and in what amounts it is present. The asbestos management plan will include a record
of regular inspections of the areas containing asbestos, so that its condition can be continually monitored
to ensure its deterioration does not become a major risk. While it is left undisturbed, asbestos should
cause no harm to workers, providing its presence and locations are known.
Working with Asbestos – Good Practices

• Employees should not eat, drink, smoke or chew within any work location including asbestos.
• Drop sheets and barriers used in the workspace ought to be wet-wiped or vacuumed with an
HEPA-filtered vacuum.
• Drop fabrics should not be reused.
• Barriers and portable enclosures should not be recycled unless they are stiff and can be
completely cleaned up.
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• Compressed air should not be used to tidy up and get rid of dust from any surface area.
• Tidy the work location often and at routine periods during the work and right away on the
conclusion of the work.
• Dust and waste should be tidied up and removed using a vacuum equipped with a HEPA filter, or
by moist mopping or wet sweeping, and positioned in a container.
The container needs to be dust ideal and tight for the type of waste and invulnerable to asbestos. They
must be identified as consisting of asbestos waste with a warning that the dust from the contents should
not be inhaled. They must only be cleaned with a wet fabric or a vacuum geared up with a HEPA filter
right away before being removed from the workspace and removed from the workplace often and at
routine periods. Prior to leaving the workspace, workers must decontaminate their protective clothes by
using a vacuum equipped with a HEPA filter, or by moist wiping, before removing the protective clothing.
If the protective clothes are not reused, the clothes ought to be placed in a container as explained above.
Workers need to wash their hands and face before leaving the workspace. The company must supply
sufficient wash facilities. A double locker centre is frequently utilised to assist employees with tidying up
after dealing with asbestos, especially after medium- to high-risk operations. A “double locker” requires
two locker rooms with showers between. Using double locker spaces allows employees remove asbestos
polluted clothing in one locker room, then shower off asbestos pollutants, then utilise the 2nd locker
location to keep their street clothes. Double locker rooms are needed in specific jurisdictions.
Controlling the spread of dust beyond the workspace is critically crucial so that individuals beyond the
workspace are not exposed to asbestos fibres. The specific controls to attain this differ from using
polyethene sheeting barriers for low risk operations to set up a separate ventilation system, kept under
an unfavourable pressure for high-risk workspace.
Carbon Monoxide
A colourless, odourless gas usually encountered as a byproduct of partial combustion (e.g. poorly
maintained heating boiler). It is hazardous by inhalation. During normal respiration, oxygen from the
atmosphere is absorbed by the red blood cells in the blood and chemically bound to haemoglobin (a
protein) so that it can be carried around the circulatory system to body tissues. Carbon monoxide
interferes with this oxygen carrying process by binding onto the haemoglobin molecule at the same place
where the oxygen should be (forming a compound called carboxy-haemoglobin). This prevents oxygen
transportation and can lead to death by asphyxiation.
Low levels of CO (0.005%) will cause a progressively worsening headache. Levels of 1.3% will cause
immediate unconsciousness and death within three minutes. Note that this can occur even though oxygen
concentrations are normal at 21%.
Typical controls include:

• Restricting work on gas systems to competent engineers only.
• Maintenance and testing of boilers and flues.
• Good general workplace ventilation.
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• LEV for vehicle exhausts in workshops.

• Care in the siting of equipment containing combustion engines.
• Carbon monoxide alarms.
• Confined-space entry control.
Blood Borne Viruses

There are many viruses that can be transferred from one person to another by transfer of blood and other
body fluids. Perhaps the best known of these blood-borne viruses (BBVs) are hepatitis and Human
Immunodeficiency Virus (HIV - the causative agent of Acquired Immune Deficiency Syndrome (AIDS)).
Hepatitis presents the greatest risk in the workplace; there are several forms of hepatitis (A, B, C, etc.)
caused by different strains of the virus. The route of infection depends on the virus type:
• Hepatitis A is contracted orally by cross-contamination with faecal material containing the
hepatitis A virus, so sewage workers are at risk.
• Hepatitis B is transmitted in body fluids, such as blood, so occupations at risk would include
healthcare workers (doctors and nurses), fire-fighters, police and waste-disposal workers. The
virus survives for long periods outside the body and can survive harsh treatment that would kill
other micro-organisms (such as boiling in water). Contaminated body fluids can cause infection
by contact with damaged skin, needle-stick injury and even splashing to the eyes and mouth.
Symptoms of the disease include jaundice and liver damage. Though many people are able to
make a full recovery, others will become long-term sufferers and some continue to carry the virus
but do not display any symptoms of infection.

• Use of PPE (such as gloves and eye protection) when handling potentially contaminated material.
• Correct disposal of potentially contaminated material (such as clinical waste).
• Prevention of needle-stick injuries by correct disposal of sharps in a sharps bin.
• Decontamination and disinfection procedures.
• Vaccination where appropriate.
• Procedures to deal with accidental exposures (e.g. needle-stick injuries)
Cement
Cement is used extensively in the construction industry to make mortar and concrete. In its dry powder
form it is an irritant dust, which is easily inhaled or blown into the eyes. Once mixed with water it is
corrosive on contact with the skin or eyes.
Workers can be exposed to cement during:

• Mixing operations – in both the dry powder and mixed, wet forms.
• Bricklaying and concrete pouring – in the wet form.
The harmful effects of exposure include:

• Irritation or corrosive burns to the eyes.
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• Irritation of the respiratory tract.

• Irritant dermatitis on skin contact.
• Allergic dermatitis on repeated skin contact.
• Corrosive burns to the skin on prolonged contact (sometimes referred to as cementitious burns).

• Eliminating or reducing exposure.
• Use of work clothing, and PPE such as gloves, dust masks and eye protection.
• Removal of contaminated clothing.
• Good hygiene and washing on skin contact.
Legionella bacteria
It is a bacteria present in many water based systems, e.g. cooling towers, water distribution pipework,
stagnant water, etc. It is caused by inhalation of airborne droplets of water containing the Legionella
bacteria, leading to a form of pneumonia (Legionnaires’ disease) caused by the bacteria penetrating to
the alveoli in the lungs. The symptoms are similar to pneumonia, i.e. breathing difficulties, high
temperature and possible death and the elderly are most vulnerable. The conditions in air conditioning
systems, if not properly maintained and treated, can be ideal for the bacteria to breed and then enter the
atmosphere in the building.

• Management Controls
o Assessment of the risk from Legionella.
o Appointment of a ‘responsible person’ to carry out risk assessment, manage and
implement the controls.
o Review of control measures.
• Practical Controls
o Avoid water temperatures between 20ºC and 45ºC and conditions that favour bacteria
growth.
o Avoid water stagnation, which can encourage biofilm growth.
o Avoid using material that can harbour bacteria and provide them with nutrients.
o Control the release of water spray.
o Keep water, storage systems and equipment clean.
o Use water (chemical) treatments where necessary.
o Carry out water sampling and analysis.
o Ensure correct and safe operation and maintenance of water systems.
Leptospira bacteria
Leptospirosis or Weil’s disease is caused by a bacteria found in the urine of rats and mice. It attacks the
kidneys and liver causing high temperatures and headache. The health effects include serious damage to
internal organs which can prove fatal. It enters the body either through puncture of the skin or by
ingestion. The most common source is contaminated water in a river, sewer or ditch. It is an ingestion
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and absorption health hazard. Controls include vermin control, housekeeping and removal of waste,
personal hygiene, covering damaged skin and the provision of information, training and instruction.
Workers at risk include: Sewer workers, farm workers, vets, pest control workers.
Silica
A component of rock commonly encountered in the mining, quarrying, pottery and construction
industries, silica is hazardous by inhalation. When inhaled, respirable crystalline silica dust is deposited
deep in the lungs. Over time it causes scar tissue to form (known as silicosis – very similar to asbestosis).
This progressive disease leads to breathlessness and chest pain and can prove extremely disabling and
fatal (by heart and lung failure).

• Prevention of exposure by use of alternative work methods.
• Dust suppression by water jet/spray.
• Local exhaust ventilation.
• Respiratory protective equipment.
• Health surveillance (lung-function test and chest X-ray).
Wood Dust
Exposure to wood dust can cause adverse health effects, like dermatitis, allergic breathing issues, and
cancer. Contact with the irritant substances in wood sap can cause dermatitis and other allergies. The
respiratory effects of wood dust direct exposure consist of asthma, hypersensitivity pneumonitis, and
chronic bronchitis. Other typical symptoms connected with wood dust exposure include skin and eye
irritation & nasal dryness.

• Local exhaust ventilation to remove dust at source
• Regular cleaning of the workplace
• Training employees to recognise, avoid, and correct potentially hazardous conditions
• Promoting good personal hygiene
• Training employees so that they are acquainted with the special equipment and aspects of
building and ventilation design related to dust control
• Never permitting blow-down of accumulated dust with compressed air. Blowing dust with
compressed air will create hazardous dust cloud
• Providing continuous local exhaust ventilation on all woodworking machines (the local exhaust
systems must have a suitable collector)
• Personal protective equipment– includes eye protection (safety glasses/goggles), coverall, gloves,
and respiratory equipment.
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Summary
This element has dealt with some of the hazards and controls relevant to hazardous substances in the
workplace. In particular, this element has:
• Outlined the physical forms of chemicals and biological agents that can be hazardous to health.
• Identified the classification of hazardous chemicals (toxic, harmful, corrosive, irritant or
carcinogenic) and the meaning of the terms “acute” and “chronic” when used to describe their
effects.
• Explained the main routes of entry into the body (inhalation, ingestion, absorption through the
skin, and injection through the skin).
• Outlined the body’s defence mechanisms, including respiratory defences and skin defences.
• Noted some principles for assessing risk from exposure to hazardous substances and the sources
of information used (especially product labels, manufacturers’ safety data sheets and exposure-
limit lists).
• Discussed the principle of Occupational Exposure Limits and the use of short-term and long-term
exposure limits, as well as international differences and the application of relevant limits.
• Outlined the principles of good practice for controlling exposure.
• Described a hierarchy of controls for hazardous substances: eliminate or substitute; change the
process; reduce exposure time; enclose or segregate; local exhaust ventilation; dilution
ventilation; respiratory protective equipment; other personal protective equipment; personal
hygiene; and health surveillance.
• Described types of respiratory protective equipment (filtering face-piece, half-mask, full-face and
powered types) and breathing apparatus (air hose, compressed air and self-contained types).
• Explained the ill-health effects of asbestos, various chemicals (e.g. carbon monoxide) and
biological agents (e.g. Legionella) found in workplaces, and the general controls required.
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ELEMENT 8: GENERAL WORKPLACE ISSUES
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Learning outcomes
8.1 Outline common health, welfare and work environment requirements in the
workplace.
8.2 Explain the hazards and control measures for safe working at height.
8.3 Outline the characteristics of a confined space, what should be considered

in a risk assessment of, the main hazards of and safe-systems-of-work for a
confined space.
8.4 Outline what a lone worker is, the steps to take to avoid lone work,
particular hazards of and what should be included in a risk assessment for lone
working.
8.5 Outline the common causes of and control measures for slips and trips in
the workplace.
8.6 Outline the hazards and control measures for the safe movement of people
and vehicles in the workplace.
8.7 Outline the advantages and disadvantages of road traffic safety

management systems, factors to consider when assessing the risk from work-
related driving and the hazards associated with electric and hybrid vehicles.
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8.1 HEALTH, WELFARE AND WORK ENVIRONMENT REQUIREMENTS

Welfare Requirements
When considering the provision of welfare arrangements, there
has to be the inclusion of the provision of suitable and
sufficient:
• Sanitary conveniences,
• Washing facilities,
• Drinking water,
• Accommodation for clothing,
• Facilities for changing clothing and
• Facilities to take rest and eat meals.
Toilet Facilities
Access to a sufficient number of toilets (WCs) for the number
of workers present, with separate facilities for men and
women. They should be protected from the weather and adequately clean, lit and ventilated. Special
provision should be made for the disabled.
Washing Facilities
Washing facilities should be suitable and sufficient. An employer may provide showers if required because
of the type of work carried out. Washing facilities should have running hot and cold or warm water and
soap, clean towels or other means of drying.
Drinking Water
Enough supply of wholesome drinking water should be offered. Water ought to be provided only in
refillable enclosed containers where it cannot be gotten from a direct mains supply. The tanks ought to
be filled up at least day-to-day unless it is in chilled water containers and is filled up by the provider.
Accommodation for Clothing and Changing

Provision of suitable and sufficient arrangements for a person’s own clothing not worn during working
hours and for any special clothing not taken home. So far as is reasonably practicable there should be
facilities for drying clothing. Facilities for changing clothes must be suitable and sufficient, where a person
has to use special clothing for work and for reasons of propriety may have to be separate for male and
female
Facilities for Rest and Eat Meals

Dedicated areas at work can be considered as rest areas and as eating facilities as long as they adequately
clean. Where supplied consuming centres need to have a facility for preparing or getting a hot beverage.
Ideal rest centres ought to be offered pregnant females and nursing mothers. Restricting smoking in the
workplace has the following benefits:
• Reduction in fire risk
• Improvement in general cleanliness
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• Reduction in exposure to cigarette smoke for other staff

• General promotion of good health
• Avoidance of conflict between smokers and non-smokers.
Working Environment
International and national requirements relating to the workplace vary, but many contain all the
requirements on issues such as:
• Ventilation, and Workplace temperature,
• Lighting, as well as secure access to and within the workplace, etc.
They aim to ensure that workplaces meet the basic health, safety and welfare needs of all the members
of the workforce including people with disabilities. They apply to all non-domestic places of work, and all
parts of buildings that may be shared with other employer’s i.e.
• Building toilets, corridors, foyers and lobbies
• Private roads and car parks
• Paths in industrial estates and business parks
• Temporary workplaces (but not construction sites – they have their own set of requirements).
Ventilation
Appropriate and efficient provision need to be made to ensure that every enclosed workplace is ventilated
by an adequate amount of fresh or purified air. Any ventilation plant must have a gadget that provides
visible or audible warning of failure. Windows or other openings might offer adequate ventilation, but
mechanical ventilation systems might be needed to ensure adequate fresh air and comfortable working
conditions.
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Temperature
Reasonable temperatures should be provided, but obviously, climate will be a major factor. For example,
in the UK the recommended temperature should be a minimum of 16°C for sedentary workers (i.e. sitting
down) or 13°C if there is severe physical effort unless lower temperatures are required e.g. freezer stores.
There is no maximum temperature.
Lighting
Lighting should be sufficient to enable people to work and move about safely, and as per the requirement,
local light may need to be provided at individual workstations. A well-lit workplace is the first step towards
a safe work environment. Employers have duties to ensure the provision of adequate lighting by natural
means so far as is reasonably practicable, and to keep windows and skylights reasonably clean when they
are relied upon as a source of natural light as well as maintaining emergency lighting where necessary to
facilitate safe evacuation or to prevent a risk of danger from machinery, etc. Recommended levels of
lighting in the workplace are determined by the task being performed. Natural lighting should be used
where possible as this is the most comfortable light for the eye.
Health and safety effects of inadequate lighting are:

• Eye strain
• Headaches
• Poor posture
• Tripping over unseen objects
• Increased likelihood of error
• Increased time to evacuate work area during emergency
Factors to consider in the provision of adequate lighting are:

• The tasks being undertaken
• The size, volume and layout of the work area
• The equipment being used
• Availability of natural lighting
• The shift patterns
• Suitability of artificial lighting
• Glare from computer screens
• Areas in shadow
• Need for localised lighting
• Maintenance and replacement of faulty lighting
• Requirement and provision of emergency lighting
Cleanliness and Waste Materials

The workplace and the furniture etc. should be kept clean and if possible walls, ceilings and floors should
be cleaned. The wastes must be timed and regularly removed and should be stored in suitable containers.
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Workstations/Seating
Suitable workstations should be provided for people at work. If
work is done seated, appropriate chairs must be provided.
Seating should give adequate support to the lower back and
footrests provided to workers whose feet cannot reach the
floor. If one is required to work in a sitting posture for an
extended period of time can cause:
• Vertebral and muscular damage
• High blood pressure
• Circulation problems e.g. thrombosis.
A suitable chair for sedentary work should have a good lower
back support, and easily adjustable height and arm rest. It must
have a safe and stable base and ability to swivel in all directions.
A suitable footrest would be required for short height people.
The seat material must suit the environment in which it is being used.
Effects of Exposure to Extremes of Temperatures

Exposure to excessive cold or heat may have significant effects on employees’ health and can cause
accidents due to fatigue or stress. Risk assessments should be carried out considering the personal factors
such as the amount of activity and the type of clothing provided the task and environmental factors such
as temperature, radiant heat, and specific sources of cold or heat if the work is performed outdoors.
Hot Environments
A significant hazard for the body at higher temperature is the adverse effect on physiological and
biochemical processes. Working in hot environments such as foundries, glass works, etc. can cause health
effects such as:
• Dehydration – water is lost as a result of sweating.
• Muscle cramps – as a result of salt loss through sweating.
• Heat stress – where core temperature (37°C) cannot be controlled and starts to increase; causes
discomfort, lethargy, headaches and fainting.
• Heat exhaustion – a precursor to heat stroke.
• Heat stroke – where core temperature increases rapidly; causes hallucinations, coma and death.
• Other effects associated with the source of the heat, such as skin burns or cancer from exposure
to sunlight, or burns from radiant heat and contact with hot surfaces.
Measures to protect the workers working in hot environments should include:

• Provide good workplace ventilation – moving air has a cooling effect.
• Insulate heat sources – by lagging hot pipes.
• Shield heat sources – to control radiant heat and prevent contact burns.
• Provide cool refuges – where workers can escape the heat.
• Provide easy access to drinking water or isotonic drinks.
• Provide frequent breaks and job rotation.
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• Provide appropriate clothing for use in the hot work environment but consideration must be given
to other workplace hazards.
Cold Environments
The health effects of working in cold temperatures in workplaces such as cold stores and freezers could
be:
• Hypothermia – core temperature drops below 35°C; causes shivering, mood swings, irrational
behaviour, lethargy, drowsiness and death.
• Frost bite – body tissues are frozen; causes tissue damage and, in extreme cases, necrosis,
gangrene and amputation.
• Slip hazards – in particular, floors will become slippery with ice.
• Freeze-burn injuries – from skin contact with very cold surfaces.
Measures to protect employees working in cold environments can be:

• Prevent or protect workers from draughts.
• Shield/lag extremely cold surfaces.
• Provide warm refuges – where workers can warm up.
• Provide PPE – such as insulated jackets, trousers, boots, balaclavas, etc.
• Provide frequent breaks and job rotation.
• Provide easy access to hot food and drinks.
• Scrape, salt, or grit icy floors.
In both types of environment, information, instruction, training and supervision should be provided so
that workers understand the health consequences of the environment and the early warning signs of
problems.
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8.2 WORKING AT HEIGHT

Accidents associated with people falling from heights are prevalent in both the construction and
maintenance sectors. As the consequences of such accidents are usually serious, a high degree of
protection is required. In practice, this means the provision and proper use of suitable equipment and the
development of safe systems of work.
Examples of Work Activities Involved in Working at Height

Construction and maintenance work often require people to work at height: Examples of workers who
might be required to work at height include:
• Steel workers erecting the steel framework of a building.
• Scaffolders erecting or striking (taking down) a scaffold.
• Roofers cladding the roof of a steel-framed building.
• Demolition workers dismantling machinery in a multistorey building.
• Welders working at the side of a deep excavation.
• Pipe fitters fixing pipework to the ceiling of a factory workshop.
• Painters working on the external walls of a building.
Some of these types of work will inherently involve work at height (e.g. scaffolding) and so those involved
will be very used to working at height. This can lead to complacency. Other types of work, however, do
not always involve work at height, so those involved may lack competence .
Hazards and Risk Factors

The main risks associated with work at height are:
• The worker falling from height. Falls from height can result in:
o Death – working at height causes a higher proportion of fatalities than all other types of
construction work.
o Neck or spinal injuries, leading to permanent paralysis.
o Multiple broken bones.
• An object falling onto people below. Falling objects can also cause severe injuries that may result
in death, brain damage, paralysis, or multiple broken bones.
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Deterioration of Materials
The condition of the structure on which people are working should be sound. However, materials
deteriorate over time when exposed to the weather, attack by insects, etc. Unsound materials represent
a hazard in two ways:
• The material can break when a person puts his/her weight on it, causing a fall through the
surface.
• The material can break off and fall to hit people below.
It may not always be evident that deterioration has occurred until it is too late, so care must be taken to
ensure that materials are sound and secure.
Unprotected Edges
Where the edges of surfaces on which people are working are open, the risk of falls or falling objects is
greatly increased. This applies to a range of surfaces, including roofs, elevated walkways, scaffolding and
access platforms, etc.
Unstable or Poorly Maintained Access Equipment

Access equipment includes scaffolding, towers, platforms and ladders. There are inbuilt risks in using
such equipment, but they are increased if the equipment is not properly stable and secured in some
way. Any access equipment that is incorrectly sited, poorly built, or poorly secured will be inherently
unstable; conditions such as overloading the equipment, high winds or overreaching can then cause a
catastrophic collapse or topple.
Access equipment must be maintained correctly to ensure stability. This must be carried out by a
competent person and is often subject to statutory requirements, e.g. inspection frequencies. See later
for details on the ways in which access equipment can become unstable, and the controls necessary for
safe use.
Weather
The weather can increase the risks associated with working at height:
• Rain or freezing conditions can increase the risk of slipping.
• High winds can make access equipment unstable, blow loose materials off and, in extreme
cases, cause workers to fall off.
• Cold conditions cause loss of manual dexterity and can lead to increased risk of muscle injuries.
Falling Materials
Objects falling from a height are capable of causing considerable damage to both people and other
materials that they hit. The objects themselves may be loose structural material, waste materials, or
dropped equipment or tools.
Circumstances that contribute to the likelihood of falling materials include:
• Deterioration of structures, causing crumbling brickwork or loose tiles.
• Poor storage of materials, e.g. at the edges of scaffold platforms, or in unstable stacks.
• Poor housekeeping, leading to accumulations of waste and loose materials.
• Gaps in platform surfaces or between access platforms and walls.
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• Open, unprotected edges.

• Incorrect methods of getting materials from ground level to the working area.
• Incorrect methods of getting materials down to ground level, e.g. throwing.
Work At Height – Risk Assessment

A simple activity like using a stepping stool to collect books from a shelf should be simple (not overloading,
not overstretching, etc.). But, for a complex activity or construction project, a much detailed assessment
would be necessary. A risk assessment for working at height should first consider whether the action could
be avoided. If this is not possible, then the risk assessment should consider the following issues:
• The nature and duration of the work;
• The competence level of all those involved
with the work;
• The required level of supervision;
• Use of edge protection, operating platforms
and means of access and egress;
• Required PPE such as helmets and harnesses;
• The presence of fall arrest systems, such as
netting or soft landing systems;
• The health status of the workers;
• The possible weather conditions;
• Compliance with the relevant legislation.
Preventing Falls and Falling Materials

Proper planning and supervision of work is important to prevent falls from height and falling materials.
Those responsible for such work should be experienced and should use their knowledge to ensure:
• The selection and use of correct access equipment.
• Correct provision and handling of tools and materials (especially getting them up and down from
work locations).
• Adequate information, instruction and training for all persons who will be involved.
Regular inspections of the workplace, work equipment and work methods are essential to reduce the
risks. Unsafe acts should not be tolerated and should be stopped immediately, ensuring all employees
know why the work is being stopped, as well as the consequences if further unsafe work is carried out.
Unsafe conditions should be corrected on the spot.
A simple hierarchy can be adopted to prevent falls:

• Provide a safe working platform with guard-rails, fences, toe-boards, etc. that are strong enough
to prevent a fall.
• Where this is not possible or reasonable, provide properly installed personal equipment, such as
rope access or boatswain’s chairs.
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• If this is not possible and a worker can approach an unprotected edge, provide equipment that
will arrest falls, such as a safety harness or safety net.
This last option does not prevent falls but it does minimise the distance of the fall and the consequences
(i.e. injury).
Prevention of injury caused by falling materials should be controlled using a similar approach:
• Prevent materials from falling using physical safeguards such as toe-boards and brick-guards.
• If risk remains use physical safeguards to prevent falling objects from hitting people below, such
as debris netting, fans (wooden shielding angled to catch debris) and covered walkways.
Emergency Rescue from Heights

Rescue from height - exactly what does the provision mean - does it imply that there should be a
designated rescue group on all sites or should it be the result of regular risk evaluation? The risk
assessment process should inform you about the level of rescue cover that may be needed, included the
need to consider:
• How remote the site is,
• What equipment is being used and
• How difficult etc. it would be to get a worker to ground level in the event of an emergency
(including a suspension situation).
One should not rely on the emergency services, and consideration needs to include:
• The level of competence required for workers involved in the rescue and
• Any specialist equipment they may need to use.
Minimising Distance of fall

To minimise or prevent risk when preparing for work at height, consider the work to be done and take a
reasonable risk based technique to identify appropriate precautions. As talked about a little earlier there
is a hierarchy of control measures for determining how to operate at height securely. The regime needs
to be followed methodically and only when one level is not fairly practicable might the next level be
thought about. Where it is relatively feasible to prevent a fall, preventative measures must be required to
do so. It is not acceptable to select work devices from lower down the hierarchy in the very first
circumstances.
Fall Arrest
If it is not possible to provide a safe work platform with guard-rails and toe-boards, or an alternative
means of safe access (such as suspended access equipment), and workers might fall from height, then it
will be necessary to provide some form of fall arrest. Fall arrest comes in two main forms:
• Collective protection systems, such as safety nets and air bags.
• Personal protective systems, such as a fall-arrest harness.
Ideally, collective protection should be used because this will protect all workers, irrespective of whether
they are using their PPE correctly or not. For example, safety nets might be suspended underneath the
open steel frame of a roof while workers fix the roof cladding material into place.
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Nets must be properly installed and securely attached by competent riggers as close as possible below
the roof, to minimise the distance fallen.
Personal fall-arrest equipment usually consists of a full body harness connected to one or two lanyards
(or wire rope on an inertia reel). The lanyard is connected to an anchor point during use. Personal fall-
arrest equipment should only be used by trained workers. Harnesses, lanyards and anchor points should
be routinely inspected to ensure they are in safe working order.
Head Protection
Construction and industrial sites almost always have a risk of falling or moving objects, so they should be
mandatory hard-hat areas. A hard hat protects the wearer from severe head injury as a result of:
• Impact from small objects that fall.
• Being struck by moving objects.
It will not protect the wearer from heavy impact, such as might occur if the object is very large and heavy
(e.g. a scaffold tube) or is dropped from a great height (e.g. a hammer from 10 storeys up). Effective
alternative methods should therefore be used to prevent falling objects and control moving objects.
In certain situations where a worker is at risk of striking their head in the event of a fall it is more
appropriate for them to wear a climbing helmet rather than a hard hat. A climbing helmet is designed to
give protection against falling objects and impact to the head in the event of a fall and will have a chin
strap with four points of attachment.
Safe Working Practices When Using Common Forms of Access Equipment

Ladders
Ladders are really only suitable for short duration work that allows the worker to maintain three points
of contact at all times (e.g. inspection work or painting). They are also suitable for use as a means of access
and egress and are commonly used for access into excavations and onto scaffolds. Safety precautions for
use of ladders include,
• The ladder must be securely fixed near to the top of the stiles or, near to the bottom to prevent
swaying;
• Set up the ladder in level and firm footing.
• Each style must be adequately supported;
• The ladder must extend at least 1 metre above the landing place;
• There must be sufficient clear space at each rung to allow a safe foothold;
• The vertical run of the ladder should not exceed 9 m unless an intermediate landing has been
provided;
• Set up the ladder at an angle of 75° – one horizontal (base) to four vertical (height);
• The ladder must not be lashed to any gutter or soil stack or other similar items which may be
insecure.
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For construction works, ladders or step

ladders of industrial or light industrial
specification only are acceptable.
Domestic class equipment is not suitable
for the construction environment. Where
two-handed operations are undertaken,
safety harnesses must be used on ladders
or, preferably, fixed or mobile towers
erected by a competent person.
Independent scaffolds, which provide safe
access to and around the roof edge,
storage space or a loading bay, are the
ideal solutions. However, they are not
always possible or cost-effective.
Stepladders, Trestles, Staging

Platforms
Trestles and stepladders should be:
• Manufactured to an acknowledged industrial standards;
• Handled with care to prevent damage and deterioration;
• Subject to a programme of regular inspection;
• Examined by the user prior to usage;
• Utilised on a safe surface, with due stability at all times;
• Stepladders should not be used if they are too short for the work being done.
Trestles are utilised in combination with boarding to develop a work platform. Trestles must be inspected
before use. The purpose of such an inspection is to recognise whether the devices are fit for its function,
has actually been correctly assembled or set up, and can be used safely. In considering whether a platform
or trestle is ideal for work at height, employers require making sure that it is:
• Of adequate measurements to permit safe passage and safe usage of equipment and materials
• Free from gaps through which persons or products could fall
• Fitted with toe boards and hand rails
• Kept spick-and-span, e.g. Do not permit mortar and debris to develop on platforms
• Not loaded so regarding give rise to a risk of collapse or to any deformation that might impact its
safe use
• Erected on the firm level ground to guarantee equipment stays steady throughout use.
Scaffolds
Independent Tied Scaffolds

As the name suggests, these types of scaffolds are made up of individual tubes and couplers and are
capable of handling its own weight and that of load it carried. However, they are tied into any
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building/structure for stability. The scaffold structure carries its own weight and all applied loads – men,
materials and wind loads.
Components of Scaffold
SOLE PLATES/ MUDSILL AND BASE PLATES A good base is essential. The ground should be levelled to
give a firm surface, and timber sole plates should be laid
to support the base plates for standards.
STANDARDS The Independent Tied Scaffold has two vertical rows of
standards; an inner row and an outer row in line with the
inner row to provide a platform.
LEDGERS The standards in each row are kept equidistant and
strengthened by ledgers fixed horizontally on the inside of
standards with right angle couplers.
TRANSOMS Transoms, keeping the inner and outer rows of standards
evenly apart, are set on top of ledgers at right angles to
them and to the building.
BRACING Bracing is essential to stiffen the structure.
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Working Platforms
All boards which make up a working platform should rest squarely and evenly on correct spaced transoms.
Each board should have at least three supports unless its thickness or span is enough to prevent any
sagging under load. Too much overhang will cause a board to tip if someone treads on end: too little will
make it unsafe – i.e. a small movement would cause it to drop through. The surface of the working
platform should be even to prevent anyone tripping. All boards should lay closely together along their
length. Take suitable precautions to avoid boards from lifting in high winds by using straps or purpose-
made metal clamps. Platforms should always be wide enough to permit freedom of movement and, as
necessary, to accommodate whatever materials need to be stored. Wherever materials need to be
deposited a clear way must always be maintained.
Leading Edge Protection – Toe-boards and Guard-Rails

Guard-rails and toe-boards are required at the exteriors and ends of all work platforms from where people
and materials can fall more than 2 meters. Toe-boards and guard-rails should be fitted on the inside of
standards to prevent outward movement. Where materials need to be stored, additional boards may be
necessary to stop materials falling, or it may be advisable to suspend wire mesh frames from guard-rail to
toe board to effect complete closure. If guard-rails and toe boards are removed to permit passage of men
and materials, they must be replaced as soon as possible afterwards.
Moving the Working Platform

Careful attention must be given to moving all boards from lift to lift. Otherwise a well-designed and
prepared deck will progressively become an incomplete and unsafe platform.
Reasons Why Scaffolding Can Collapse

• Overloaded work platform.
• Scaffold built on soft ground without use of adequate sole boards.
• Scaffold not tied adequately to building.
• Insufficient bracing incorporated into scaffold.
• Standards not upright.
• Standards bent, buckled or heavily corroded.
• High winds.
• Incorrect couplers used to join tubes together.
• Scaffold struck by mobile plant.
• Scaffold erected by incompetent workers.
• Scaffold not inspected prior to use.
Scaffold Inspections
Scaffold structure should be inspected routinely for its overall integrity by a competent person and
inspection recorded. Specifically, it should be checked:
• After erection
• After adverse weather conditions
• Being struck by a vehicle
• After substantial alteration
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Examination of Scaffolding
• Base: Check that it is on firm ground and with sole plates
• Line of standards and ledgers is accurate and correct
• Condition of tubes and fittings
• Right couplers are used
• Spacing of transoms to support boards is correct
• Boards good condition and proper overhang
• Guardrails & toe boards are
• Bracing is sufficient
• Means of access available and not obstructed
• Ties: number & position are sufficient
• Not overloaded
• Security of stacked materials
Mobile Tower Scaffold

Tower scaffolds arise from the needs of painters and others
who do lightweight work from a working platform/structure
that can be mobilised from place to place. Mobile tower
scaffolds have castors/wheels on them. The working platform
size could be equal or less than the dimensions of the base. If
required additional stabilisers are also used, as the height of
the platform increases.
Primary Hazards of Mobile Tower Scaffold

• Overturning
• Collapse
• Fall from height
• Falling objects
• Overhead obstructions
Structure of Mobile Scaffold Tower

Wheels or castors should be fitted with brakes which cannot accidentally be released and should be locked
into the base of the standards. The safe working load should be indicated. The platform for working must
be completely and fully boarded without leaving any gaps.
Precautions when using mobile tower scaffolds should include:

• Only to be used on firm, stable level ground
• To be moved only by pulling or pushing at the base.
• Working platforms should be clear of men and materials when the scaffold is being moved.
• Wheels should be turned outwards to provide maximum base dimensions, and wheel brakes must
be “on” and locked when the scaffold is being used.
• Correct height to width ratio (outdoor 3:1)
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• Diagonal bracing
• Working platform properly boarded and evenly supported
• Working platform properly fitted with guardrails and toe boards
• Not overloaded
• Properly secured access extending above landing place
• Account taken of overhead obstructions/power lines
• Correct fittings and materials used
Mobile Elevated Work Platforms

This type of work equipment, used in the building and construction industry, is covered by Federal Law
and supporting legislation, Regulation and Codes of Practice. The essential requirement of Federal Law is
that the equipment must be suitable and stable in terms of its construction and for what it will be used.
In addition, it must be properly maintained and inspected and must periodically undergo thorough
examinations by an independent, competent and approved the third party. Dangerous parts must be
guarded, and there must be correctly marked controls or control systems, a means of isolation from its
power source and, where mobile, means of preventing it overturning or rolling over.
The primary types of mobile elevating work platform are - Scissor lifts; Telescopic booms or jibs,
articulating and telescopic booms. All of these may be either - Towable units; Vehicle mounted; Self-
propelled; Pedestrian controlled. The main functional differences between the three basic types of
platform are described in your course notes. Their sizes and capabilities vary considerably. The work
activity which results in the use of MEWPs should have been subject to a work based risk assessment.
Travel must never take place with outriggers or stabilisers extended unless the machine is designed to
function in this way. Before travelling, a check should be made to ensure:
• No ramps, trenches, holes or other ground obstructions lie in the path of travel
• No overhead electrical cables, building projections or other overhead hazards will be encountered
• Adequate warning has been given to persons on the ground
• A signaler or other responsible person is employed, if necessary
• Nothing has been left unsecured and liable to fall off
• No trailing hoses, cables, wires on the unit or other snagging hazards are in the path of travel.
• Travelling up and down inclines and traversing slopes should only be undertaken within limits laid
down by the manufacturers.
Suspended Access Equipment

Suspended access equipment usually consists of a suspended cradle lowered into position from above.
The cradle can be fully guarded in with guard-rails and toe boards to provide a safe work platform.
In some instances, it is not practicable to use this sort of equipment, so it may be necessary to use personal
suspended-access equipment, such as a boatswain’s chair. A boatswain’s chair can be used for light short-
term work. The chair usually consists of a seat with a back, a suspension point and means for carrying
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tools. The user should be attached to the chair by a harness to prevent falls. Control of descent is by the
user, based on the same techniques as abseiling, although there should not be a single suspension point.
Inspection of Access Equipment

Access equipment should be thoroughly examined by a competent, independent and impartial person.
Also, equipment must be thoroughly inspected at regular intervals. The inspection should be carried out
before the equipment is put to use for lifting for the first time; Equipment has been exposed to conditions
that may cause it to deteriorate, and result in a dangerous situation. After an accident or inclement
weather that could have affected the strength and stability of the equipment. Where working platform is
used for construction work and from which a person could fall more than two metres: It must be
inspected after it is assembled after an incident that must have affected its strength and stability. It must
also be checked once in 7 days. Equipment such as mobile crane hired from the rental company must be
accompanied by a certificate of inspection. The person making the thorough examination should notify
any defects to the Employer immediately, and a written report must follow. The reports should be kept
until the next inspection for reference purposes.
Prevention of Falling Materials through Safe Stacking and Storage

In any workplace, there will, at some time or another, be a need to store and stack materials and/or
substances. This particular topic needs to be approached with care and consideration for the safety of
those in the workplace, those passing by the workplace and of course the items themselves that could, if
not managed appropriately become lost or damaged.
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Designated storage areas

Plant - All sites will at some time or another have plant and equipment that will require being
parked/stored when not in use. With regard to plant, the areas designated for storage will need to be
suitable and sufficient for the purpose with regard to:
• Ground condition
• Security
• Access and egress
• Materials, - Flammable materials will usually need to be stored away from other materials and
protected from accidental ignition. Do not store materials where they block to gain access to paths
or where they might disrupt emergency escape. Make sure required guard rails are in place if
individuals could fall when stacking or collecting products or equipment if products are saved at
height.
• Waste; - Decide how the waste stream will be managed to ensure it is timely and efficient.
Procedures should be in place for safe stacking and storage to prevent fall of material. Good practice
includes:
• Materials and equipment are stored securely, neatly stacked on stable, level bases that are
capable of carrying the weight of the load
• Stored items and storage racks must not protrude beyond the sides of the rack or shelf or into
aisles or walkways that could cause accidental collision causing the material to fall.
• Circular items such as pipes and drums should be stored in suitably designed restrictive racks, or
firmly chocked to prevent falling.
• Storage racks for storing tools and equipment must be marked with maximum loading values
• Racks should not be overloaded to prevent collapse or toppling over
• Bulky items that are manually handled must be stored at a low height to minimise damage
associated with a potential fall
• Access should be provided that allows for removal of articles by use of mechanical aids
• Stepladders or similar approved means should be utilised for safe access to storage areas
• Do not allow the storage of items on the top of cabinets or other furniture and fittings not
specifically designed for storage
• Chemicals, including gas cylinders or materials that could react with or contaminate one another,
should be stored separately
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8.3 SAFE WORKING IN CONFINED SPACES

A confined space is, in reality, defined by the hazards it presents. The most common perception of a
confined space is that it restricts the movement of the person
working in it. This is logically extended to enclosed areas that have
adequate space inside but have a limited means of access or
egress, for example through a hatch or manhole. This is a
reasonable start to defining a confined space, but rather neglects
the hazards from the contents or the lack of free flowing air in the
space. Broadly speaking, the hazards concerned of confined
spaces are concerned with:
• The aspects of entry and moving about
• Any substances already in the space or brought into space
• The safety of the surface the worker is walking on
• Any possible effects as a result of inadequate isolation of
the space either from the ingress of substances or
through inappropriate movement of plant or equipment
• The effects of excessive heat or cold in the space
Identification of a Confined Space

• Does it have a physically restricted access (and egress) that makes entry and exit difficult -
particularly in an emergency?
• Does it present a restriction to movement inside that will interfere with the work or hamper
escape in an emergency?
• Is there a possible lack of a free flowing supply of breathable air?
• Is there a reasonable likelihood of the presence, build up or production of flammable or harmful
gas, vapor, or fumes in the area that is not likely to move under natural air movement?
• Is there a reasonable likelihood that the oxygen content of the air in the area will be reduced
during the work (either as a result of the work or through some other cause)?
• Could a worker in the space be trapped and drown if there was a rise in the level of any liquid?
• Could an employee sink in any free flowing solid in the area (e.g. grain, flour, sand) or could the
free flowing solid prevent the operator from being able to escape to a breathable atmosphere
including the collapse of a compacted amount of the free flowing solid on which the worker may
be standing?
• Is the access to, or egress from the confined space restricted - remembering any personal
protective equipment worn or equipment carried?
• When at the actual site of the work, can the worker adequately reach the work area or position
themselves in a suitable way to work comfortably without excessive bending or adopting an
unnatural position?
• Is the surface that the worker will walk on sufficient to carry their weight?
• Will the employee be expected to undertake any manual handling in the confined space?
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Controlling Risk of Working in Confined Spaces

• Avoiding the need for entry
• Developing a safe system of work
• Keeping an emergency system in place
• Provision of training for the entrants/ buddy/ supervisor/ gas tester/ permit issuer
Avoid Entry
The primary risk control required is to prevent entry to a confined space. It would be of significant harm
to any defense in the event of a prosecution if an employer were unable to show that they had adequately
assessed the risks, but not considered undertaking the work from outside or some other means not
involving entry of the confined space.
Safe System of Work

Since the risks are likely to be high, it is most often recommended that the extra level of control provided
by a permit-to-work system is used. The initial stages of preparing the safe system of work (or permit-to-
work) will involve a thorough risk assessment. This will take into account the detail of the task to be carried
out including the equipment and materials that will be required and any people involved (including
emergency response personnel). The most important aspects that will form part of the safe system of
work will include:
• Decide the level of Supervision Required
• Competency and fitness of people undertaking the worker (physical and psychological fitness)
• Segregating the space using barricades and
signage.
• Isolating the area from all energies, and removal of
residual powers.
• Cleaning and ventilating the space.
• Testing for the atmospheric contaminants and
oxygen levels.
• Providing suitable access to space.
• Select tools and equipment required to be used
include lighting arrangements.
• Use of PPE and other respiratory protective
equipment depending on the atmospheric conditions.
• Appointing an attendant and arrange communication with the entrant.
• Arrangements for emergency response on standby.
Emergency Procedures for Confined Spaces

During the work, there must be adequate means for the rescue of the workers in the event of an
emergency. The most important aspect of this is to ensure that the rescuers do not have to put themselves
at risk to affect the rescue. It is important to remember that a collapsed or injured worker may need
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specialist equipment - including slings and lifting equipment - to be recovered. It is particularly important
that any equipment that may be necessary for emergency procedures is actually available and rigged
ready for immediate use. In some cases, there will be a likelihood of the need for resuscitation equipment.
For example, if the work is in a potentially hazardous atmosphere, the usual means of first aid
resuscitation, such as mouth-to-mouth, would pose a significant hazard to the rescuer and would thus be
inappropriate. It is important that the users of such equipment are adequately trained and are competent
in its use and also that the equipment is properly maintained and functional. In certain emergencies, it
may be necessary to shut down or isolate other items of plant or equipment, other than at the confined
space.
Non-permit required confined spaces do not contain additional hazards such as the potential of a
hazardous atmosphere or the potential for workers to become engulfed or trapped by materials. Non-
permit required confined spaces can be continually accessed by workers, but are still associated with
inherent difficulties stemming from the tight spaces. Alerting workers to the confined space and any
policies related to their work should be posted before workers enter the space.
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8.4 LONE WORKING

People who work by themselves without close or direct supervision are found in many work situations. In
some cases:
• They are the sole occupant of small workshops or warehouses;
• They may work in remote sections of a large site;
• They may work out of regular hours, like cleaners or security personnel;
• They may be working away from their main base as installers, or maintenance people;
• They could be people giving a service, like social workers, home helps, drivers and estate agents.
The hazards that a lone worker may encounter will be the same as those of their colleagues working
together, but the risks may be higher because:
• They don’t have help to do the work, and to cope if things go wrong.
• Communication with colleagues and management is more difficult.
There is no general legal reason why people should not work alone, but there may be particular risks
which require two or more people to be present, for example, during entry into a confined space in order
to affect a rescue. It is important to ensure that a lone worker is not put at any higher risk than other
workers. This is achieved by carrying out a specific risk assessment and introducing special protection
arrangements for their safety. People particularly at risk, like young people or women, should also be
considered. People’s overall health and suitability to work alone should be taken into account.
Safe Procedures
To manage the risks associated with lone working a risk assessment must be carried out and a safe system
of work developed. Various control measures may have to be implemented in the safe system of work:
• Periodic visits from the supervisor to observe what is happening
• Regular voice contact between the lone worker and the supervisor
• Automatic warning devices to alert others if a particular signal is not received from the lone
worker
• Other methods to raise the alarm, which is activated by the absence of some specific action
• Checks that the lone worker has returned safely home/to their base
• Special arrangements for first aid to deal with minor injuries, this may include mobile first aid kits
• Arrangements for emergencies should be established and employees trained.
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8.5 SLIPS AND TRIPS

Slips, trips and falls are one of the principal causes of accidents. Listed below are some causes of slips,
trips and falls:
• Slipped on wet surface
• Slipped on dry surface
• Tripped over obstruction
• Tripped over uneven floor surface
When people slip or trip, they often (although not always) fall to the floor. Though falls on the same level
do not always lead to serious injury, they may well lead to broken bones (especially in the hand, wrist or
arm).
The factors that contribute to these accidents can be considered under the headings of:
• The floor surface: Slippery surface, holes, uneven surface, etc.
• Contamination: Spillages, Leaks, etc.
• Obstructions: Rubbish, Trailing cables, Rugs, etc.
• The Task: Carrying loads, insufficient space to work
• Environment: Lighting
• Footwear: unsuitable footwear
• The People: Unaware of the dangers
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Control Measures
To prevent slips and trips, the following precautions could be considered:
• Designated walking routes where possible
• Ensure walkways are level
• Ensure walkways are non-slip
• Well-lit and clearly marked walkways
• Procedures to quickly identify and remove spillages and obstacles
• Eliminate need to carry loads
• Make employees aware of the hazards
Steps and stairs are places of particular concern because they are locations where slip, trip and fall
accidents can occur more frequently and the consequences of such accidents can be more serious.
The hazards are:

• Inadequate design (dimensions, no handrails)
• Poor Housekeeping (obstructions, trailing cables)
• Poor lighting
• Slippery surfaces (Oil/water/Ice) or unsuitable footwear
• Damaged flooring or coverings
• Manual handling/rushing on stairs
To avoid accidents on stairs, the following precautions could be considered:

• Adequate width of walkways/stairs and handrails fitted
• Remove obstructions/trailing cables
• Improve lighting levels and install emergency lighting
• Non-slip surfaces/spillages procedures/covered walkways
• Maintain/report and repair defects
• Use lifts for loads/sites rules
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8.6 SAFE MOVEMENT OF PEOPLE AND VEHICLES IN THE WORKPLACE

Hazards to Pedestrians from Workplace Transport Operations
Struck by Moving, Flying and Falling Objects
People may be struck by:
• Objects falling from overhead conveyors
• Bits of material ejected from equipment or items falling from above
• Hand tools falling from height during maintenance work
Struck against fixed or moving objects

This can occur where obstructions are protruding into walkways; hazards are not marked; lack of
awareness of people and where there could be distractions and human error such as people not paying
attention. The most efficient way is to prevent this type of accident is to plan the workplace to ensure
walkways are clear of obstructions. If this is not possible, then obstructions should be barriers off making
sure the barrier itself does not create a hazard and making sure that the obstruction is clearly marked and
identifiable.
Collision with Moving Vehicles

Any circumstance which includes crossing a vehicle/plant traffic route is a hazard, particularly when
lighting/visibility is limited and it is not possible to see oncoming vehicles clearly. Emerging from doors
can provide an issue where the exit leads straight on to a vehicle course. Other hazardous scenarios consist
of:
• Working close to moving vehicles, such as in filling/loading bays or carrying out road repair works.
• Where vehicles move or cross around locations which are usually reserved for pedestrians, such
as in parks.
Vehicle Movement Risks

When vehicles move around in workplaces, they are a hazard to:
• Pedestrians.
• Other vehicles (and their occupants).
• The driver (and other occupants).
Typical vehicle accidents include:

• Loss of control
• Overturning of vehicles
• Colliding with fixed structures, other moving vehicles and pedestrians
Loss of Control
Causes of loss of control may include driver condition, mechanical failure and environmental conditions.
• Driver competence – Driver may not be trained on the particular type of vehicle, affected by drugs
and alcohol, fatigue, physical and physiological issues.
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• Mechanical failure – brake and steering mechanism failure preventing the driver from controlling
the vehicle.
• Environmental conditions – Adverse weather conditions such as snow, ice and water, fog causing
the vehicle to skid out of control. Lighting issues such as headlights are suddenly blinding the
driver.
Overturning of vehicles
Overturning vehicles cause nearly a fifth of all deaths in workplace transport accidents. Fork-lift trucks,
compact dumpers, tipper lorry and tractors are all especially at risk of overturning. There are many
reasons why vehicles overturn, including:
• Travelling on gradients that are too steep
• Fork-lift trucks moving forwards when descending slopes
• Being overloaded, unevenly loaded or carrying unstable loads
• Moving on soft or uneven ground or falling into excavations
• Moving over slippery surfaces, e.g. Oil or grease patches
• Moving too fast, especially around corners
• Moving over kerbs, steps or other edges
• Poor maintenance, e.g. of tires and brakes
• Vehicle used is not compatible with the task
• Handling/carrying and moving with raised loads, e.g. a fully raised fork-lift truck load.
Collision with Other Vehicles or Fixed Objects

Vehicles colliding with other vehicles or other obstructions cannot just affect the driver but pedestrians
can also be affected as a vehicle colliding with another may bounce off into pedestrian areas. Vehicle
entrance and exit points – such as the forklift truck entrance point from an outside yard area into a
workshop – are areas of particular concern. These parts of a building tend to have a high incidence of
vehicle collisions because of the:
• Concentration of vehicles through these routes.
• Presence of blind spots (places that the driver cannot see).
• Changes in light levels that may occur (from brightly lit to dark and gloomy, or the reverse) – the
driver’s eyes take a while to adapt to the new light level.
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Control Measures for the Safe Movement of People and Workplace Vehicles
Safe site
Careful design and construction of the workplace can eliminate or reduce the risks created by vehicle
operations. The following factors should be considered:
• Vehicle-free zones – it may be possible to eliminate the hazard by creating pedestrian-only
areas.
• Pedestrian-free zones – since pedestrians are usually the group at greatest risk during vehicle
maneuvering operations it may be possible to eliminate them from certain parts of the
workplace.
• Vehicle traffic route layout – good design of roads and routes can be used to keep vehicles at a
distance from pedestrian walkways and other vehicles. One-way systems are an effective
method of reducing the risk of collisions between vehicles. Reversing should be eliminated
where possible through the introduction of one-way systems and turning circles, where
appropriate.
• Segregation of vehicles and pedestrians – wherever possible, pedestrians should be provided
with a separate walkway. It may be necessary to place barriers on this route to provide
additional physical protection. In some situations (such as in loading bays), safe havens should
be provided to which pedestrians can retreat during vehicle movements. Where barriers cannot
be used, segregation might be achieved by marking pedestrian walkways on the floor. Crossing
points may be implemented to allow pedestrians to cross traffic routes safely.
• Separate site and building entrances should be provided for vehicles and pedestrians so that
they are not forced into close proximity at these busy areas.
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• Appropriate signage should be used to alert vehicle drivers to hazards on their route (such as
lower overheads).
• While barriers can protect pedestrians from vehicles they can also be used to protect structures
that might be at risk of damage or collapse in the event of a collision, e.g. in a warehouse,
racking may be protected with barriers at vulnerable locations.
• Environmental considerations should also be taken into account:
o Good standards of lighting should be present on traffic routes.
o Good visibility is essential, so that drivers have unobstructed views from their vehicles.
Blind spots should be eliminated by careful traffic route design; where this is not possible,
aids such as mirrors, CCTV and transparent doors should be provided.
o The surface of the traffic route must be suitable for the vehicles using it, with attention
paid to its strength, stability, grip characteristics and drainage.
o Gradients and changes of level should be avoided, but if this is not possible they must not
exceed the capabilities of the vehicle using the traffic route.
Safe vehicles
The range of vehicles that might be used for work purposes is large, from cars, vans and lorries used on
public roads to 200-tonne quarry trucks. In spite of this great variety of vehicles, there are some basic
principles that can be applied. When selecting vehicles for use in the workplace, the employer should
ensure that they are:
• Suitable for the tasks required
• Suitable for the environment
• Provided with warning aids
• Provided with protection from falling materials and in the case of some vehicles protection from
roll over
• Inspected routinely before use
• Maintained in safe working order
Safe drivers
Driver Selection
For workplace transport both internal and external, it is important that proper driver selection and
training techniques are in place. Drivers should be:
• Mature and reliable
• Subject to pre-employment medical check
• Physically fit
• Regular medicals e.g. every 5 years or if suffering from- Restricted limb motion, Heart problems,
Vision/ hearing problems
• Licensed
• Trained and competent
• Supervised and monitored
• Given refresher training
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Driver Training
Drivers should be given induction training, skills training and refresher training as necessary for them to
operate the vehicle competently and drive safely. Training programs for vehicle operators in a work
environment must include:
• Individual duties
• Safe working load estimation
• Secure parking and security of automobile
• Speed limitations
• Safety rules and indications-- sounding horn/no passengers and so on
• Floor conditions-- pot holes/housekeeping and so on
• Follow site standards and local codes of practices
• Vehicle reversing – audible warnings
Employ banksmen to aid the reversing of all vehicles. The banksmen should be appropriately trained and
the drivers educated in the signals the banksmen would be using; Pre- use lorry inspection and upkeep.
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8.7 WORK-RELATED DRIVING

Road injury prevention requires a clear focus on achieving results, meaningful shared responsibility and
systematic management across public and private sectors. ISO 39001 assists organizations of all types
and sizes in the road safety management task.
The Benefits of Adopting ISO 39001

Organizations that implement road safety management systems will be well placed to:
• Contribute to national and global efforts to prevent death and serious injury in road crashes.
• Demonstrate organizational commitment to an issue of significant public concern.
• Address one of the organization’s primary occupational safety risks.
• Cut organizational road crash and incident costs, and working days lost to injury.
• Make the best use of available resources to target safety risks on the road.
• Promote the organization, improve its profile and increase business
• Reduce insurance premiums and repair bills.
Risk assessment – Assessing risks on the road

Companies are required by law to perform regular risk evaluations, recognise hazards, examine the
possibility of injury or damage, evaluation workplace procedures routinely and consider methods of
controlling or decreasing these threats.
Factors related to driving at work that increases the risk of being associated with a road traffic accident
includes:
• Distance: driving excessive distance without breaks, causing driver fatigue
• Driving hours: Excessive driving hours with insufficient rest breaks. It is generally recommended
that drivers take a 15 minutes break for every 2 hours of driving.
• Work schedules: Driving during danger periods and peak traffic flow. Shift work between the
hours of 2 am, and 6 am are considered danger periods where driver tend to become sleepy. Peak
traffic flow in the mornings when workers go to work and in the evenings when workers go home
should be avoided.
• Stress due to traffic conditions: Traffic jams and road works causing massive delays put pressure
on drivers, particularly when there is an agreed deadline for arrival.
• Weather conditions: Adverse weather conditions such as snow, rain, ice, fog, sand storm, high
winds should be considered when a journey is planned. Where the conditions are considered
unsafe for driving, the trip should be rescheduled. Vehicles should be fitted with suitable and
appropriate safety equipment to deal with weather conditions, for example, anti-lock brakes.
Evaluating the Risks

When assessing the risks of work related road safety, the following should be considered:
The Driver
Competency
To ensure driver competency, Employers should check that driver.
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• Have the necessary experience and ability to work efficiently and safely.
• Possess a valid driving license for the type of vehicle to be driven
• Know their limitations and not accept driving assignments for which they have not been licensed
or trained
• Be knowledgeable about the company road safety policy and procedures and what is expected of
them
Employers should also:

• Have in place recruitment methods that include reference checks
• Supplement policy document with written instructions and guidance and/or training sessions or
group meetings
• Specify the required standards of skill and expertise for particular job
• System in place to ensure that driving safety standards are met
• Hire fully trained, appropriately licensed, competent drivers
Fitness and Health

• Pre-employment medical to check that drivers do not have pre-existing medical conditions that
would affect their ability to drive safely
• Regular health check to ensure drivers remain fit and healthy (eye test, blood pressure test)
• Ensure Drivers of heavy Lorries, for which there are legal requirements for medical examination,
have the appropriate medical certificate
• Ensure those at-work drivers who are most at risk undergo regular medicals
• Arrangements in location to remind staff who own to work that they need to be able to fulfil the
eyesight requirements set out in the Highway Code
• Personnel to be informed that they must not drive, or carry out other duties while taking a course
of medicine that might damage their judgment. In cases of doubt, they need to seek the view of
their medical professional.
Training
Employers should allocate budget for training. Proper arrangements must be implemented to assess the
effectiveness of training including the requirement for refresher training. Drivers should be given the
training to remain competent to drive at work this may include induction training, skills training, refresher
training. Additional training) when working with the high-risk vehicle and hazardous load. If the drivers
have poor accident records or is young drivers. These drivers should be given priority training.
• On how to carry out pre-use checks and routine checks on items such as lights, tyres, wheel fixings
• On how to use anti-lock brakes (ABS) correctly
• On how to check washer fluid levels before starting a journey
• On how to correctly adjust seats, head restraints, mirrors
• On securing load, including safe loading and unloading
• On how to ensure safe load distribution, e.g., when undertaking multi-drop operations
• On how to recognise symptoms of fatigue, whole body vibration
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• On emergency procedures to ensure their own safety, including what to do and who to contact
when there is a mishap or a failure
• On the danger of fatigue and what to do if they start to feel sleepy
• To be fully aware of the height of their vehicle, both laden and empty
In addition, Employers should provide a handbook for drivers giving advice and information on road
safety.
The Vehicle
Vehicle Suitability
Management should have in place a procurement policy to ensure that only vehicles that are fit for
purpose and comply with safety standards are purchased. Arrangements should be in place to hire or
replace vehicles if existing fleet is not suitable for the job in hand. No private car must be allowed to be
used at work unless they are insured for business use.
The Vehicle Condition

Employers should ensure that vehicles are maintained in a safe and fit condition. These include:
• Having adequate maintenance arrangements in place
• Ensuring maintenance and repairs are carried out to an acceptable standard
• Ensuring planned/preventative maintenance performed in accordance with manufacturers’
recommendations.
• Ensuring drivers know how to carry out basic safety checks
• Ensuring vehicles do not exceed maximum load weight
• Ensuring goods and equipment which are to be carried in a vehicle can be protected, Like, moving
materials or tools can cause a distraction to the driver.
• Ensuring windscreen wipers are inspected regularly and replaced as necessary
The Vehicle Safety Equipment

• Safety equipment should be properly fitted and maintained.
• There should be reliable equipment to secure loads.
• Reverse lights and audible alarms should be in good working condition
• Airbags are installed and functional
• Anti-lock brakes are functional
Safety Critical Information

Drivers should have access to safety critical information that will help them reduce risks. These include
information on:
• The recommended tyre pressures
• Adjusting headlight beam to adjust the load weight
• How to adjust head restraints to compensate for the effects of whiplash
• Steps to be taken when the vehicle is found to be unsafe, with information on whom to contact.
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Ergonomic Considerations
• Musculoskeletal disorder (neck, back and low back problems) can be caused by the driver not
adopting correct posture & seating position.
• When purchasing or hiring vehicles, the Employer should take into account ergonomic
considerations. Good seat design could avoid musculoskeletal disorder including whole body
vibration. Car seats should be adjustable to ensure safety and comfort (lumbar support, height,
recline position, etc.)
• Drivers should be provided with guidance on good posture and how to set their seat correctly.
The Journey
Routes
Routes should be planned thoroughly to make sure safe driving, use of safer paths which are better for
the kind of car carrying out the journey Freeways are the best roads, and although small roads might be
fine for cars and trucks, they are less safe and might provide problems for bigger Lorries. Route
preparation must take into account overhead restrictions, e.g., bridges and tunnels and other hazards,
such as level crossings, which may provide threats for long vehicles.
Scheduling
Employers should set realistic work schedules
• Consider periods when drivers are most likely to feel sleepy when planning work schedules. Sleep-
related accidents are most likely to occur between 2 am and 6 am and between 2 pm and 4 pm.
• Implement Control measures to stop employees from driving if they feel sleepy even if this might
upset delivery schedules
• Checking tachograph timely to make sure that drivers are not taking shortcuts and putting
everyone at risk
• Avoid periods of peak traffic flow
• Provide sufficient allowances for new trainee drivers
Time
• Employer should ensure sufficient time is allowed to complete journeys safely
• Set realistic schedules. Journey times should take account of road types and condition, and allow
for rest breaks.
• Control measures implemented to ensure drivers comply with driver’s hour’s rules
• Company policy should not put unreasonable work pressures on drivers which will force them to
take risks, such as speeding and short cuts.
• Drivers to make an overnight stay, rather than having to complete a long road journey at the end
of the working day
• Employers should advise staff that work irregular hours of the dangers of driving home from work
when they are excessively tired. Consider an alternative, such as a taxi
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Distance
Drivers must not be put at risk from fatigue caused by driving excessive distances without appropriate
breaks Think about methods to remove long roadway journeys or decrease them by combining with other
techniques of transport. As an example, there is a possibility to move items wholesale by train and after
that organise for local circulation by van or lorry Take into consideration fatigue and tired when long
journeys are planned and assessed. Set criteria to ensure that employees are not being asked to work an
exceptionally long day.
Weather conditions
Employers should give sufficient consideration to inclement weather, such as snow or high winds, when
planning journeys. Consider rescheduling journey times and routes to take account of adverse weather
conditions Ensure vehicles are properly equipped to operate in bad climatic conditions, e.g., fitting Anti-
lock brakes. Ensure drivers understand the action they should take to reduce risk, e.g., drivers of high-
sided vehicles should know that they should take extra care if driving in high winds with a light load.
Control Measures
Where work-related road safety is integrated into the arrangements for managing health and safety at
work, it can be managed effectively. The main areas to be addressed are policy, responsibility,
organisation, systems and monitoring. Employees should be encouraged to report all work-related road
incidents and be assured that punitive action will not be taken against them.
• Plan all journeys in advance taking into consideration duration, route, weather condition, traffic
delays, the length of the vehicle, etc.
• Driver to carry out pre-use check
• Drivers must have valid driving license, cleared health checks and competent to drive the vehicle
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• Drivers to attend training such as defensive driving, skills training, refresher training
• Implementation of No Drugs and Alcohol policy, conduct random breath and blood test
• Ensure drivers take regular breaks and not drive continuously for more than 2 hours
• Drivers to use headlights in a bad weather condition where visibility is affected, e.g., fog
• Preventing schedules which are not realistic and force drivers to overspend and take short cuts to
increase the turnaround time.
• All vehicles to have fully comprehensive insurance coverage
• Depending on the type of vehicle, personal protective equipment to be worn as appropriate such
as a hard hat and high visibility clothing.
Hazards Associated With the Use of Electric and Hybrid Vehicles
• High voltage components and cables capable of delivering a fatal electric shock.
• Stored electrical energy with the potential to cause explosion or fire.
• Components that can hold a dangerous voltage even when vehicles are “off”.
• Unexpected movement of electric motors or the vehicle itself, due to magnetic forces within the
vehicle and its systems.
• Heavy, bulky and awkward to handle components. High-voltage batteries are several times
heavier than conventional batteries, so lifting aids and devices are required to prevent
musculoskeletal disorders.
• Explosive gases and harmful liquids which can be released if batteries are damaged overcharged
or incorrectly modified.
• Electric vehicles are silent when operated. There’s a risk that people would be unaware of planned
or unexpected movements.
• Hybrid vehicles can start their internal combustion engine automatically when the ignition is on
and the vehicle detects that the battery has discharged to a level at which recharging is necessary.
• High electric currents in batteries and high-voltage systems in electric vehicles can cause magnetic
fields which can induce eddy currents in the human body. Risks arising from electromagnetic fields
are therefore potentially dangerous for mechanics and others with active implants such as cardiac
pacemakers.
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Summary
This element has dealt with certain workplace hazards and the associated risk controls available.
• Outlined minimum welfare provision as: access to drinking water; toilets; washing facilities;
changing rooms and accommodation for clothing; and places to rest and eat food.
• Identified basic workplace environment standards for: seating; ventilation; heating; and lighting.
• Outlined the effects of working in extreme temperatures and relevant control measures.
• Discussed the prevention of materials from falling by ensuring safe stacking and storage.
• Described the main risks associated with work at height as falls and falling objects, created by
hazards such as deteriorating materials, unprotected edges, unstable access equipment and
adverse weather conditions.
• Discussed the hazards and precautions relevant to scaffolds, mobile tower scaffolds, Mobile
Elevating Work Platforms (MEWPs) and ladders, as well as the inspection requirements for such
equipment.
• Explained the relevance of safe systems of work to confined space entry and lone working.
• Outlined the various hazards that pedestrians are exposed to as they move around the workplace
and categorised them as: slips, trips and falls; falls from height; collisions with moving vehicles;
striking by moving, flying or falling objects; striking against fixed or stationary objects.
• Identified the typical risks associated with movement of vehicles, which include vehicle overturn,
and collisions with pedestrians, other vehicles or fixed structures.
• Explained how the use of control measures can ensure safe workplace transport operations,
through the risk assessment process and by careful management of the workplace environment,
vehicles and drivers.
• Explained how the risk assessment of work-related driving should focus on three main areas of
concern: the driver, the vehicle and the journey, each of which has various risk factors associated
with it.
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ELEMENT 9: WORK EQUIPMENT
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Learning outcomes
9.1 Outline general requirements for work equipment.
9.2 Explain the hazards and controls for hand-held tools.
9.3 Describe the main mechanical and non-mechanical hazards of machinery.
9.4 Explain the main control measures for reducing risk from machinery
hazards.
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9.1 GENERAL REQUIREMENTS

Types of Work Equipment
All workplaces and activities require some sort of hardware either powered or non-powered to facilitate
the activity to produce the goods and/or perform the services specific to the business. A reasonable
definition of work equipment is any machinery, appliance, apparatus, tool or installation for use at work.
It is not practical to provide a comprehensive list of equipment used as it could vary from industry to
industry. However, the following is a list that is typical equipment:
• Hand tools such as hammers, knives, hand saws, meat cleavers
• Work shop machinery such as drilling machines, milling machines, circular saws
• Office machinery such as photocopiers
• Laboratory equipment such as Bunsen burners
• Lifting equipment such as hoists, lift trucks, lifting slings
• General use equipment such as ladders, steps
• Machines that are assembled together such as a transfer line in an automotive plant
In summary, almost anything used to do a job of work, including employees’ own equipment, is covered
under this definition.
Selection and Suitability of Equipment

Prior to using work equipment risk assessments need to be carried out to see that the work equipment is
properly designed and is fit for the purpose for which it is to be used and it meets all relevant safety
requirements and standards such as CE Marking. The CE marking (an acronym for the French “Conformite
Europeenne”) certifies that an item has met European Union standards, which ensure customer safety.
Producers in the European Union (EU) and abroad must satisfy CE marking requirements were suitable in
order to market their products in Europe. The employer should
also ensure that it should only be used for the purpose for which
it is intended. Work equipment should be properly maintained,
and if logs are required, they are kept up to date. After installation
of the work equipment, it must undergo inspection before putting
to use and then after at periodic intervals, and in case of any
exceptional circumstances and where there is a particular risk, the
use of work equipment should be restricted to specified people
who should be adequately trained The suitability of the safety of
work equipment is dealt with from three aspects:
• Its original integrity - Equipment must be suitable, by design, construction or adaptation, for the
actual work it is provided to do.
• The place and location of use – The location where the equipment is going to be installed or used
must be examined so that the environment does not affect the equipment and vice-versa. As an
example in a wet or moist atmosphere, electrically powered equipment without sufficient design
protection should not be used.
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• The use of the equipment – Equipment should be suitable for the particular task. Example: the
use of step ladder to access material at height.
Prior to installing new machinery in the workplace the factors we need to consider what the hazards of
the environment are, like if there are any issues related to extreme temperatures. We must consider what
kind of the chemical and biological hazards could be present. Check if the machine is suitably guarded,
and is suitable for the environment for use. It’s important to consider if the equipment is capable of being
isolated/locked off and whether it could be safely accessed. Besides these, the availability of trained and
competent persons for the use and maintenance must be considered.
Preventing Access to Dangerous Parts

Employers have a duty to ensure that measures are considered to avoid contact with any of the hazardous
parts of the machine and arrest the motion of the dangerous component of the machine before it comes
into contact with any part of a person body. The control measures for prevention of access to dangerous
parts of machinery are:
• The provision of fixed guards enclosing every critical part or rotating stock-bar
• The provision and use of another type of guards or protection devices such as interlocked guards
and pressure mats
• Provision and use of stock handling devices (jigs, holders, push sticks, etc.) for the operator to use,
so that his hand or body part does not come close to the dangerous point of contact in the
machinery .
• Providing adequate information, training, instruction and competent supervision.
Restrict Use and Maintenance

Use of work equipment should, where necessary, be restricted to competent operators only. This relates
to all equipment where risk of serious injury to the operator or to others (“specific risks”) exists, e.g. a
metal-working lathe. Repair, modification or maintenance of equipment should be restricted to
designated competent people..
Information, Instruction and Training

Those who use work equipment should have available to them adequate health and safety information
and where appropriate, written instructions relevant to the work equipment. This may include:
• The conditions in which and the methods by which the work equipment may be used.
• Any foreseeable abnormal situations and actions to be taken
• Any conclusions to be drawn from experience in using the equipment
It is essential that this information is made available to those who supervise or manage the use of work
equipment so that they fully understand the risks and procedures to prevent them.
All users of work equipment should receive adequate training for purposes of health and safety including
training in the method to be adopted when using the equipment also training in any foreseeable risks and
the precautions to be taken. Supervisors of people using work equipment should be given adequate health
and safety training on work equipment including training in the method to be adopted when using the
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equipment also training in any foreseeable risks and the precautions to be taken. There may also be
training required for specialised work such as the use of chainsaws. Training and proper supervision of
young persons are of particular importance because of their relative immaturity and unfamiliarity with
the working environment. Training may be required if the task has changed for the individual, new
technology or equipment is introduced and if the system of work changes. Refresher training should be
provided if necessary.
Maintenance
The employer should ensure that appropriate measures are taken to ensure that work equipment is
constructed or adapted to enable maintenance to be performed when the equipment is de energised/shut
down. Maintenance operations can be performed without exposing the person carrying them out to a risk
to his health or safety. Suitable actions can be taken for the protection of any individual performing risky
maintenance activities.
Machinery Maintenance
During maintenance work, conditions are very different from those usually encountered, and it is essential
that everyone concerned is aware of any hazards and of the correct precautions.
Maintenance Hazards
While carrying out routine maintenance of machinery, the hazards could be:
• Unintentional starting of machinery
• The release of stored energy e.g. pressure, electrical power.
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• Stored potential energies (falls due to gravity)

• Stored pneumatic energies (high or low pressure)
• Limited access/egress
• Residues e.g. Chemicals, Biological, Flammables, Corrosives
• Mechanical hazards
• Heat or cold
• Confined spaces
• Working at height
So prior to undertaking maintenance on machinery factors to be considered include where the equipment
is located/ installed and whether it could be safely isolated and locked off. Is there any way to dissipate
the stored energy and if the equipment can be segregated from other parts of the workplace. Availability
of access to the equipment and all necessary PPE required must be considered. It’s also important to
consider the availability of a trained and competent person to perform the maintenance. Other
environmental issues like if there are any extreme temperature issues on the equipment, and whether
anyone could get exposed to chemical and biological hazards. The possible precautions when undertaking
machinery maintenance are:
• Isolate Electrical power
• Permit to work procedures
• Locking out and tagging off of any services or piped energy to the machine.
• Dissipate heat energy by allowing machinery to cool.
• Dissipate potential energies by releasing the loads in tension.
• Separate/segregate the machine by barricading and erecting signs.
• Provide suitable and sufficient lighting and means of access
• Provide suitable and sufficient personal protective equipment
• Provide adequate means of ventilation, depending on the size of the area and hazards.
• Competent supervision
• Making sure that only trained competent and authorised persons to perform the work.
Operational Controls
To operate work equipment safely, it must be fitted with easily reached and operated controls; kept
stable; properly lit; kept clear; and provided with adequate markings and warning signs. The above applies
to all types of work equipment and work areas, particularly if they are high-risk machines. Debris and
rubbish given off from the equipment should be removed quickly. Sometimes there will be a need for
special systems to remove waste to prevent accumulations of dust and/or substances hazardous to health,
for example, wood dust from wood working machinery.
Isolation
Equipment should be provided with efficient means of isolating it from all sources of energy. In many
cases, this source is the mains electrical energy, but it must cover all sources such as steam, compressed
air, hydraulic, batteries, heat, etc. In some cases, special consideration is necessary where, for example,
hydraulic power is switched off, not to let heavy pieces of equipment like the ram, fall under gravity.
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Emergency Stops
The emergency stop must be provided where the
other safeguards in place are not adequate to
prevent danger. Where appropriate, there should
be an emergency stop at each control point and at
other parts around the machine, so that quick
activation can be achieved in case of emergency,
They should bring the equipment to a halt rapidly,
but this should be controlled where necessary so
that they don’t bring in additional hazards.
Emergency stop buttons should be easily reached
and operated.
Stability
Stability is important and is normally achieved by bolting equipment in place or if this is not possible by
using clamps. Some equipment can be tied down, counter-balanced or weighted so that it remains stable
under all operating conditions. If portable equipment is weighted or counter-balanced, it should be
reappraised when the equipment is moved to another position. If outriggers are needed for stability in
certain conditions, for example, to stabilise mobile access towers, they should be employed whenever
conditions warrant the additional support. In severe weather conditions, it may be necessary to stop using
the equipment or reappraise the situation to ensure stability is maintained.
Lighting
The quality of general and local lighting will need to be considered to ensure the safe operation of the
equipment. The level of lighting and its position relative to the working area are often critical to the safe
use of work equipment. Poor levels of lighting, glare and shadows can be dangerous when operating
equipment. Some types of lighting, for example, sodium lights, can change the colour of equipment, which
may increase the level of risk. This is particularly important if the colour coding of pipe work or cables is
essential for safety.
Markings
Markings on equipment must be clearly visible and durable. They should follow international conventions
for some hazards like radiation and lasers and, as far as possible, conform to recognised signage
conventions e.g. UK Signs and Signals Regulations. The contents, or the hazards of the contents, as well
as controls, will need to be marked on some equipment.
Warning Devices
Warnings or warning devices are required in some cases to alert operators or people nearby to any
dangers. For example:
• ‘Wear hard hats’;
• A flashing light on construction site vehicles; or
• A reversing horn on larger vehicles.
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Clear Unobstructed Workplace

The workplace should be kept clean and tidy with no material or equipment obstructing walkway,
workspace and access and egress areas. Space, where the machine is located, must be large enough to
accommodate the required workers so that the place doesn’t get congested and risk people to get close
to dangerous parts of the machine. There should be regular housekeeping and inspections to ensure
workplace remains clear, clean and unobstructed.
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9.2 HAND-HELD TOOLS

Hand Held Non-power Tools
Hand-held tools are used throughout the industry. Most people will be familiar with them as although
they may not use them in work they will have used them at home. They are tools such as screwdrivers,
hammers, chisels, spanners, electric drill, sander, pliers, etc.
Hazards of Hand-Held Tools and Requirements for Safe Use

• The tool may shatter during use, throwing off sharp metal fragments (e.g. a hammer head or
chisel blade).
• The handle may come loose during use (e.g. an axe head comes off its handle).
• The tool may be blunt, leading to use of excessive force which causes loss of control (e.g. blunt
knife).
• Simple human error, where the user misjudges a movement (e.g. hits their own thumb with
hammer).
• The tool may be misused, i.e. used in an inappropriate way, or for an inappropriate task (e.g. a
screwdriver used as a crowbar).
Some relatively simple precautions can therefore be applied to ensure safe use of hand tools:
• Tools must be suitable for the task that they are going to perform and for the environment in
which they are to be used, e.g. non-sparking tools (which do not produce sparks when struck)
are suitable for use in a potentially flammable atmosphere.
• Users should be given appropriate information, instruction and training. Many workers serve
some form of apprenticeship, or spend several years in training where they acquire an
understanding of safety in the use of the tools for their trade, but not all workers come to the
workplace with this knowledge.
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• Tools should be visually inspected routinely before use to ensure they are in an acceptable
condition. This should be done by the user. Spot checks by line management will ensure that
users comply. Substandard tools should be maintained or discarded.
• Tools should be maintained in a safe condition and be fit for use, e.g. blades should be kept
sharp and handles firmly attached; chisels should have ’mushroom’ heads ground off to prevent
metal splinters breaking off when struck
• Supervision is important to ensure that safe working practices are adhered to and misuse does
not become commonplace.
Portable Power Tools

Portable power tools are another source of hazard in the workplace. They use a number of different
sources of energy such as electricity, compressed air (pneumatic) and hydraulic which is the most
common. Common types of portable power tools are electric drills, sanders, etc. The power source itself
may lead to hazards such as electric shock as well as the hazards of the use of the tool.
Electric Drill
Electric drills are used to drill holes into the structure. Its components include rotating shaft and drill bit.
Hazard
• Contact with electricity
• Entanglement: loose clothing or hair become
entangled with rotating shaft
• Injection: puncture of skin by drill bit
• Contact: contact with rotating shaft and drill bit
• Ejection: hit by flying debris or broken drill bit
Controls
• Pre-use check to ensure there is no damage and is
fit for the task
• Ensure there are isolation measures
• Ensure drill bit is sharp
• Ensure material is clamped down securely
• Wear personal protective equipment such as goggles, hearing protection, gloves, safety shoes,
etc.
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9.3 MACHINERY HAZARDS

Potential Consequences as a Result of Contact With, or Exposure to, Mechanical
or Other Hazards
The hazards of machinery can be divided into:
• Mechanical hazards – mainly from contact with or being caught by dangerous moving parts.
• Non-mechanical hazards – mainly from the power source or things emitted by the machine.
This follows ISO 12100:2003 (Parts 1 and 2) Safety of Machinery.
Mechanical Hazards
The mechanical hazards of machinery can be further subdivided into the following classes:
Crushing – the body is trapped between two moving parts or one moving part and a fixed object (e.g. a
hydraulic lift collapses, crushing a person underneath it).
Shearing – a part of the body (usually the fingers) is trapped between two parts of the machine, one
moving past the other with some speed. The effect is like a guillotine, cutting off the trapped body part.
Cutting or severing – contact is made with a moving sharp-edged part, such as a blade (e.g. the blade
of a band saw).
Entanglement – loose items such as clothing or hair get caught on a rotating machine part and the person
is drawn onto the machine.
Drawing in or trapping - a part of the body is caught between two moving parts and drawn into the
machine, e.g. at “in-running nips”, where two counter-rotating rollers meet.
Impact – the body is struck by a powered part of a machine (this is similar to crushing, but there is no
fixed structure to trap the person; the speed and weight of the object does the damage).
Stabbing or puncture – sharp parts of the machine, or parts or material ejected from the machine,
penetrate the body (e.g. swarf, sewing-machine needle, abrasive wheel fragments, nails from a nail gun).
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Friction or abrasion - contact is made with a fast-moving surface, which may be smooth (e.g. touching
a spin dryer) or rough (e.g. touching a belt sander).
High-pressure fluid injection – fluid at very high pressure is ejected from the machine and penetrates
the skin (e.g. hydraulic fluid escaping from a burst hydraulic hose).
Hazards of Different Range of Equipment

In all types of business, there is machinery used. Some maybe single motion machinery and others could
be an array of machinery. Irrespective of the type of machinery, the mechanical and non-mechanical
hazards could be grouped as discussed earlier. Some of this equipment’s are:
• Office Machinery (Photocopiers/Shredders)
• Manufacturing/maintenance machinery (Grinder/pedestal drill)
• Agricultural/Horticultural (Strimmer’s/Mowers/Chain saws)
• Retail Machinery (Compactors, Checkout conveyors)
• Construction Machinery (Cement Mixers, Bench mounted circular saws)
There will be common hazards to each type in the industrial sectors referred to, and there will also be
particular hazards both mechanical and non-mechanical to each type of equipment.
Office Machinery
Photocopier
• Drawing in and entanglement from contact with moving parts.
• Electricity.
• Contact with hot parts.
• Health hazard from ozone (irritant gas).
Manufacturing/Maintenance Industry
Bench-Top Grinder
• Abrasion on contact with rotating abrasive wheel.
• Drawing in at nip-point between wheel and tool rest.
• Ejection of parts of the wheel during normal use, or if it bursts.
• Entanglement with the spindle on which the wheel is mounted.
• Electricity.
• Hot parts caused by friction (especially the workpiece being ground).
• Health hazard from dust.
• Noise and vibration.
Pedestal Drill
• Entanglement with the rotating drill bit or chuck.
• Stabbing or puncture by the drill bit during normal use, or if the bit breaks.
• Puncture by swarf ejected during metal-cutting.
• Impact if struck by the work piece if the bit jams and the work piece rotates.
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• Drawing in at nip-points between motor and drive belts.

• Electricity.
• Noise.
• Hot parts (especially the drill bit).
• Health hazard from cutting fluid (e.g. dermatitis).
Agricultural and Horticultural Industry
Chainsaw (Petrol-Driven)
• Cutting on contact with moving blade.
• Entanglement with moving blade.
• Drawing in at nip-point between blade and casing.
• Puncture by ejected parts (especially broken blade fragments).
• Burns from the hot exhaust system.
• Noise.
• Vibration (into the hands).
• Fire and explosion from petrol (fuel).
• Ergonomic from handling.
• Health hazards from dust, fumes and lubricating oils.
Construction Machinery
Bench-Mounted Circular Saw

• Cutting on contact with blade.
• Entanglement with drive motor.
• Drawing in at nip-points between motor and drive belt.
• Ejection of work piece during cutting.
• Electricity.
• Noise.
• Health hazard from inhalation of wood dust.
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9.4 CONTROL MEASURES FOR MACHINERY
Safeguarding the dangerous parts of machinery with different types of moving part is a very important
design and operational control. The choice of guards will depend on many factors, including where the
moving parts are located, what type of machinery movement the equipment uses, the need to access
these areas and also the competence of the person using and handling it.
The Hierarchy of Controls for Machinery Guarding

Employers should take adequate steps to prevent
access to the dangerous parts of a machine or stop
their movement before any part of the person enters
a danger zone. The most preferred guard at all
circumstances is a fixed guard. However, due to its own
inherence drawbacks, it can’t be used at all dangerous
sites on a machine and therefore, another type of
guards and protection devices. For ex. Interlocks,
pressure sensitive devices, etc. are considered.
Examples such as holders, jigs and push sticks should
be considered. Irrespective of the type of guard that
has been provided, adequate information, training,
instruction and competent supervision on safe use of
the machinery. The British Standard gives a preferred
order of guarding incorporating the 4 main types which
are:
• Fixed Guards
• Interlock Guards
• Automatic Guards
• Trip Devices
Fixed Guard
A fixed guard is a physical barrier that prevents a person from coming into contact with dangerous moving
parts. The guard may by shaped to fit the machine quite closely (enclosing guard), or it may be more like
a fence around the machine (perimeter guard). It may have openings in it (e.g. to allow raw material to
be fed into a machine), but these must be designed in such a way that it is not possible to reach in and
contact dangerous parts (distance guard).
• Creates a physical barrier • No protection if removed
• Requires an instrument to remove it • If solid hampers visual inspection
• It does not have any moving parts and • If solid may cause problems with heat
would require minimum maintenance.
• Easy to inspect
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Interlock Guard
An interlocking guard is a protective device designed to be removed as a normal part of routine machine
operation. The guard is intended to allow frequent access to a machine or danger zone by removing the
power source and preventing the equipment from operating while the guard is open. When the guard is
removed a safety interlock system prevents machine operation, e.g. a microwave oven has a hinged door
on the front to allow easy access and which is interlocked so that power to the microwave generator is
shut off when the door is open.
The basic principles of an interlocking guard are:

• Power to the machine is disabled and the machine will not operate until the guard is in place.
• Either the guard is locked shut until it is safe for the guard to open, or the act of opening the guard
stops the dangerous parts and disables power.
Many machines (e.g. photocopiers) are fitted with interlocking doors that, when opened, bring the moving
parts to an immediate stop. However, some machines cannot be stopped in this way (e.g. domestic
washing machines); it is then preferable to use an interlocking guard that locks shut and can only be
opened once the danger has passed.
• Convenient for access • More complex and therefore, potentially
• Gives flexibility of design unreliable/can fail to unsafe condition
• A time delay can be built in • Harder to inspect/test
• Difficult to maintain/subject to wear
• Subject to operator abuse
• If a gate operator can step inside
Automatic (Push away) Guard

This is a guard designed to physically remove from danger any part of a person exposed to that danger.
These guards are often called ‘push away guards’ because on the operation of the machine the guard
moves backwards and upwards physically pushing the operator away. This type of guard is used on large
power presses with slow long strokes and some guillotines etc. These guards are suitable only for slow
stroke machines like lathe, printing press, etc.
Adjustable Guard
This is basically a “craftsman’s” guard being used mainly in tool rooms, machine shops and wood working
shops where periodic adjustment of the guard is necessary owing to different sized jobs. This type of guard
is very much open to abuse and requires supervision to ensure correct use. They can be readily adjustable
without the use of tools.
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Self-Adjusting Guard
This is a guard which prevents accidental access of a person to a danger point. Once the operation is over,
the guard would automatically come back to its position, so that no one comes into contact with the
hazardous component.
Sensitive protective equipment (Trip Devices)

The terms ‘sensitive protective equipment’ or ‘trip devices’ cover a range of protective devices that do
not put a physical barrier between the operator and the dangerous parts of machinery; instead, some
form of sensor is used to detect the presence of the operator and stop the machine. Sensitive protective
equipment is intended to minimise the severity of an injury and is often used as an additional control
measure, e.g. in combination with an interlocking access gate to ensure that an operator does not gain
access by climbing over a fence, or is not locked in by a colleague.
Photoelectric devices
These are usually called light curtains or light beams. They operated by a beam of light being emitted from
a light source received by another device and bounced back. If anything breaks the beam, the machine is
stopped. They do not protect anyone inside the beam and must be timed to stop the machine quicker
than a person can cross the protected area to reach the dangerous moving parts. They can apparently fail
to danger if the beam is not monitored.
Pressure Sensitive Pads/Mats

These devices operate by pressure. If an operator is standing on the pad/mat, this prevents the machine
from operating. They are normally installed on dangerous machines or robotic operations, so that once
the operator or anyone else comes close to these machines, the pressure mat trips and controls the
machine movement either by bringing it to a stop or shutting down the power. To ensure adequate
maintenance of guards during normal operations the guards should be inspected by operators,
supervisors, or if thought necessary, maintenance personnel. Whoever carries out the inspection must
have received sufficient information and/or instruction on what to look for during the inspection. Defects,
whether of a minor or major nature, should be reported immediately. Regular and more detailed
examinations should be carried out as part of a planned maintenance system.
Two Hand Control Devices

These devices ensure the operator is standing away
from the danger area when causing dangerous
movements. They force the operator to use both
hands to operate the machine controls. They are
specifically installed and designed to protect the
operator of the machine. Additional protection can
be integrated with such devices like the use of light
curtains at the point where the operator hands or
body parts comes into contact with the dangerous
part of the machine.
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Other Protection Appliances

• Jigs are a device into which the work piece can be fitted and takes it into the dangerous part of
the machine in the correct position.
• Holder is a hand holding a device that secures the work piece in such a way that it can be placed
into the dangerous part of the machine without risk to the operator’s hands e.g. tongs.
• Push Stick is a device which is used to push the item being used as the dangerous part of the
machine without danger to the operator’s hands e.g. a stick used to push wood into a circular
saw.
Information, Instruction, Training and Supervision

Employers should ensure that workers have received the necessary training, information and instructions
to perform the work competently and safely. Taking into account information provided by the
manufacturer and supplier it would be necessary to provide specific detailed training to the operator
regarding machine related hazards. The topic to be covered in such training shall include but not limited
to the following:
• An explanation and identification of the hazards associated with the use of the particular
machines
• Operation and working of various safe guards and devices and the purpose for which they are
installed.
• Appropriate use of provided safeguards and why they must be used.
• Who is authorised to remove, install or maintain the guards and under what conditions these can
be disabled/ removed?
• Actions to be taken when they discover that the safeguard is missing, damaged and/or not able
to have the adequate protection. Provide the contact persons details and numbers to contact.
• The selection and use of PPE
Such training will be essential for all new operators of the machines, or maintenance and installation
personnel where they may be required to uninstall, modify or reinstall new devices or if an operator is
assigned to use another new equipment. Training, instruction and information should be carried out in an
appropriate manner using written, oral, visual and participative approaches in order to ensure that
workers have understood the material, and should be delivered in a language of their choice and their
understanding. The extent of the training and instruction received and required should be reviewed and
updated simultaneously with the review of the working systems and practices.
Personal Protective Equipment

Whenever engineering controls are not entirely able to protect the workers, an extra measure of
protection is necessary - workers must be provided with the appropriate personal protective equipment.
Where PPE is required to protect the safety and health of employees, it should be fit-for-purpose, suited
to the individual and provided at no cost to employees. Employees should be consulted in its selection
and trained in its use. For the maximum effectiveness of the PPE, the choice of them must be appropriate
for the particular hazards and maintained in the excellent state. PPEs must be appropriately stored when
not in use, to prevent damage or loss and kept in a clean, hygienic and fully functional condition.
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Application of Safeguard
Equipment/ Machinery Controls/Guards
Office Machinery - Photocopiers • The internal parts of the photocopiers are fully
enclosed, and the access doors are interlocked to
guarantee that the machine comes to a stop when the
doors are opened for maintenance work or clearing
paper jams.
• A program schedule of PAT (Portable Appliance Testing)
be implemented
• Ensure room containing machines is suitably ventilated
(e.g., open windows, extraction fans)
Manufacturing/ maintenance • Confirm all the guards are positioned and secured
machinery – Bench Top Grinder properly before using a grinder
• Wheels to be encased with fixed guard to prevent
ejection of pieces of broken wheel
• Install adjustable guard with toughened glass over
wheel to protect the operator
• Adjust tool rests as close as possible to wheels.
• Never adjust rests while wheels are moving
be implemented
• Extract ventilation is fitted to the wheel encasing to
remove dust at source
• Use appropriate PPE: goggles, gloves, safety boots, etc.
Manufacturing/ maintenance • Inspect equipment before use, for damaged parts and
machinery - Pedestal drill cords Ensure all guards and shields in place
• Motor and drive enclosed by fixed guard
• The spindle must have an adjustable guard and must be
in place before operating the drill
• Work-piece must be clamped securely in vice and / or
to table Use cutting fluids where possible to reduce
friction and cutting forces.
• If the drill speed is to be altered by means of gears or
other arrangements, the guard should be interlocked by
the suitable power to avoid the inadvertent starting of
the machine when the guard is open.
• Drill bit to be securely clamped in the chuck
be implemented
• Goggles, gloves and safety boots to be worn by operator
Agricultural/Horticultural - Chain • Engine part of the chain saw to be encased by fixed
Saws guard
• Electrical cables to be double insulated
• Ear protection, goggles, safety boots and long pants to
be worn by operator
• Use restricted to trained operators only
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Equipment/ Machinery Controls/Guards

Construction Machinery - Bench • Motor and drives to be fitted with fixed guard
Mounted Circular Saws • Saw blade to be mounted with adjustable guard
• Machinery should, wherever possible, be equipped
with mechanical feeding devices.
• Push sticks are an additional device used to keep hands
away from the blade.
• Emergency stop button accessible by operator
• Appropriate PPE such as ear protection, goggles, safety
boots to be worn by operator
Basic Requirements for Guards and Safety Devices

The design and construction of guards must be appropriate to the risks identified and the mode of
operation of the machinery in question. The key factors are robustness and its strength as they should be
able to resist the forces and vibration involved and able to withstand impact (where applicable). It should
not be too heavy or too big in size for the need remove and replace the guard during maintenance. The
other factors are listed below:
• Compatibility - With materials being processed and lubricants, etc.
• Hygiene - Comply with all food safety regulations and standards ;
• Visibility - It may be necessary to see through the guard for both operational and safety reasons;
• Noise attenuation - Guards often utilised to reduce the noise levels produced by a machine.
• Conversely, the resonance of large un-damped panels may exacerbate the noise problem;
• Enabling a free flow of air- Where necessary (e.g. For ventilation);
• Avoidance of additional hazards - Here for example free of sharp edges;
• Ease of maintenance and cleanliness; - To be ensured so that operatives are not put at risk,
• Where possible equipment should be able to be maintained without the need for guard removal,
• Guards must not increase risks or restrict views if viewed is deemed necessary
• Guards must be designed and installed in such a way as not to allow easy by-passing.
• Openings - The size of openings and their distance from the dangerous parts should not allow
anyone to be able to reach into a danger zone. These values can be determined by experiment or
by reference to standard tables.
Irrespective of the type of guard and/or device that is being used on machinery, it is very critical that
suitable risk control systems must be put in place to ensure that the guards remain safe and effective. It
requires an active regime of inspection, testing, maintenance and other behavioural controls like signs,
information, instruction and training.
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Summary
This element has dealt with some of the hazards and controls relevant to work equipment.
• Described some of the basic management issues that must be considered when introducing work
equipment.
• Outlined the hazards and precautions associated with simple hand tools and portable power tools.
• Explained the mechanical hazards of machinery as: crushing; shearing; cutting or severing;
entanglement; drawing in or trapping; impact; stabbing or puncture; friction or abrasion; and
high-pressure fluid injection.
• Identified the non-mechanical hazards of machinery as: electricity; noise; vibration; radiation.
• Described the hazards associated with photocopiers, shredders, bench-top grinders, pedestal
drills, cylinder mowers, strimmers, chainsaws, compactors, checkout conveyors, cement mixers
and bench-mounted circular saws.
• Explained the basic characteristics of fixed guards, adjustable and self-adjusting guards and
interlocking guards, as well as the characteristics of sensitive protective equipment (trip devices),
two-hand controls, protective appliances and emergency stops, as well as the need for provision
of PPE and information, training, supervision.
• Outlined the basic requirements of guards and safety devices.
• Identified which of these types of guards and other protection measures are necessary to ensure
safety in the use of photocopiers, shredders, bench-top grinders, pedestal drills, cylinder mowers,
strimmers, chainsaws, compactors, checkout conveyors, cement mixers and bench-mounted
circular saws.
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ELEMENT 10: FIRE
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Learning outcomes
10.1 Describe the principles of fire initiation, classification and spread.
10.2 Describe the basic principles of fire prevention and the prevention of fire
spread in buildings.
10.3 Outline the appropriate fire alarm system and fire-fighting arrangements
for a simple workplace.
10.4 Outline the factors which should be considered when implementing a

successful evacuation of a workplace in the event of a fire.
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10.1 FIRE PRINCIPLES

The Fire Triangle
A fire can be described as a chemical reaction between a fuel and oxygen in the presence of ignition/heat
resulting in products such as gases, particulate matters, heat, light and energy. A fire cannot start if one
of these elements are not present and similarly a fire can be stopped or extinguished by removing one of
these elements. For combustion to take place, fuel and oxygen must be in the right proportion and mix
well, as well as a heat source with sufficient ignition energy. Combining these elements together is often
referred as, Fire Triangle.
• Heat, as a means of moving the molecules so as to
achieve increase in pressure or expansion and more
heat
• Oxygen, in order to achieve ‘oxidation’ which may be
oxygen in the air or within the substance itself
• Fuel or material to burn
If one or more of these elements of the fire is removed, the fire
will be extinguished. Removing the heat/ignition from the fire is
called ‘Cooling’; Cutting off the oxygen supply is called
‘Smothering’ and cutting off the fuel supply is called as
‘Starving’.
Sources of Fuel, Oxygen and Heat

Oxygen
The air in the atmosphere contains 21% of oxygen. Fuels will ignite more readily in an oxygen enriched
atmosphere and if the oxygen concentration is reduced the mixture is less likely to burn. Oxygen is used
in various medical and industrial processes and is found in cylinders. Oxygen may also be piped around
sites.
Oxidising Materials
Most oxidising materials do not burn easily themselves. They release oxygen upon combustion and
consequently promote the burning of combustible materials. An example of an oxidising material is
potassium nitrate, which is used in fertilisers.
Fuel
Fuels can be combustible solids such as paper, rubber, plastic, carpets, textiles, wallpaper and wood, etc.
and also can be gases such as LPG (propane and butane) and hydrogen, liquids such as paint, thinners,
paraffin, petrol, etc.
Ignition
The following are possible sources of ignition to start a fire:
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• Use of naked flames/torches

• Overheating and arcing from electrical equipment
• Unextinguished smoking materials
• Heat and sparks from hot works like welding/grinding.
• Exothermic chemical reactions, producing heat.
• Hot surfaces from heating and other process equipment
• Frictional heat from moving parts, like that of machinery
• Buildup of static electricity
• Lightning strikes
Classification of Fires
Fires are classified into five categories according to fuel type. The classification is useful as the basis for
identifying which type of fire extinguisher to use. Note that the classifications shown here are those used
in the UK; local classification systems may exist in other countries and regions, but the UK system provides
a good example.
Class A Fires involving solid materials, normally of an organic nature, in which the
combustion occurs with the development of radiant embers, e.g. wood,
paper, coal, etc. Water applied as a jet or spray is the most effective way of
achieving extinction (although CO2, foam, dry powder may also be used).
Class B All flammable liquid substances like petrol, diesel, alcohol, etc. Here the
smothering effects of agents which exclude oxygen are the most effective:
foam, CO2 and vaporising liquids and water as a spray
Class C This class includes the all flammable gas fires. Examples are Hydrogen,
butane, LPG, LNG, etc. Such fires require Dry powder and foam. Extinguishers
used on liquid gas spillages work by smothering
Class D Fires involving metals e.g. magnesium or aluminium. They can only be
extinguished by use of dry powders which include talc, soda ash, limestone
and dry sand. All extinguishers work by smothering
Class F Fires involving cooking oils and fats. The foam congeals on top of the oils and
excludes the oxygen.
Principles of Heat Transmission and Fire Spread

Heat can be transferred in many different ways, and this needs to be understood and assessed so that
suitable control measures can be built in during the design stage itself. The ways in which heat spreads
are discussed below:
Heat Transfer by Conduction

The principle that heat can be transmitted through solid materials. Some metals, in particular, conduct
heat very efficiently (e.g. copper). Any pipes, wires, ducts or services running from room to room can act
as conduits for heat and spread the fire.
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Heat Transfer by Convection

The movement of hotter gases up through the air (this is the main cause for the spread of fire). The heated
air can pass through gaps and cause a fire to start elsewhere.
Heat Transfer by Radiation

Heat energy can be radiated through air in the form of infrared heat waves, which travel in straight lines
(just like light) and can pass through transparent surfaces (such as glass). Radiant heat generated by a fire
shines onto nearby surfaces and is absorbed. If the material heats up sufficiently it can burst into flames.
Direct Burning
The simplest method of fire spread, where a flame front moves along or through the burning material.
For example, if the corner of a piece of paper catches fire, the flame front will spread across the paper.
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Common Causes and Consequences of Fire

There could be many causes and consequence of fire. It will not be practical to provide a comprehensive
list of them. However, the following are some of the causes and consequences which require being
assessed and controlled.
Causes
• Electrical equipment – faulty wiring, overloaded conductors, misused equipment and the
incorrect use of electrical equipment in inappropriate environments.
• Deliberate ignition – many workplace fires are started deliberately. In some cases, the
workplace has been targeted, e.g. by a disgruntled employee or an unhappy customer. In other
cases, it has not, e.g. youths playing with matches on an industrial estate.
• Hot work – any work involving the use of naked flames (e.g. a propane torch or oxy-acetylene
cutting equipment), or which creates a significant ignition source (e.g. arc-welding and grinding).
• Smoking – in particular, carelessly discarded smoking materials, such as cigarette butts and
matches.
• Cooking appliances, e.g. fat pans left unattended.
• Heating appliances, e.g. electric fan heaters and space heaters, especially when left unattended.
• Unsafe use and storage of flammable liquids and gases, e.g. petrol, acetone and liquefied
petroleum gas (LPG). Static sparks can be generated, which could ignite a flammable vapour.
• Mechanical heat – generated by friction between moving parts, such as a motor and its
bearings, or cold work generating sparks.
• Chemical reactions - can also generate heat, e.g. oxidisers.
Consequences of Fire
The main ways in which persons can be harmed in fires are by being burnt. However, studies have shown
that more than getting burnt, people die of suffocation by inhaling smoke or toxic fumes. The other
impacts of fire could be the depletion of oxygen supply. Injuries could also occur due to the fire damaging
the structure and building and people getting crushed during the evacuation due to insufficient evacuation
arrangements, or getting panic. Besides injuries, the business could suffer by colossal damage beyond
repair. The reputation of the business could get affected. An offset effect/consequence of fire is the
release of smoke and other toxic gases causing air pollution and environmental damage. Besides this, the
firefighting water runs off to the surface water directly, or through the storm, water networks could lead
to water pollution too.
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10.2 PREVENTING FIRE AND FIRE SPREAD

The best course of action to ensure fire safety is to prevent fires from starting. Fire prevention can be
based on some simple ideas taken from the fire triangle:
• Control fuel sources.
• Control ignition sources.
• Control oxygen sources.
Control of Combustible and Flammable Materials

Combustible materials (such as paper, cardboard, wood and furnishings), flammable liquids (such as
petrol and acetone) and flammable gases (such as butane, propane and methane) are all potential fuels
and should be stored, handled, transported and used with appropriate care if the fire risk that they
represent is to be controlled.
The best option is to eliminate the combustible and flammable materials and substances entirely from
the workplace. This might be done, for example, by disposing of old stocks of materials and substances
that are no longer needed. Alternatively, it may be possible to substitute one potential fuel source for
another that presents less of a fire risk. For example, a petrol-powered generator might be changed to a
diesel-powered one, eliminating the need to store and handle petrol. Since petrol is a highly-flammable
liquid (i.e. easily ignited at lower ambient air temperatures) but diesel is not (i.e. not easy to ignite at
ambient air temperatures) there is a considerable reduction in fire risk.
If combustible and flammable materials cannot be eliminated or substituted, then the quantities of these
materials present in the workplace should be minimised. This requires good stock control, housekeeping
and waste management. For example, cardboard is used extensively by many manufacturing companies
as a packaging material. It will be stored in bulk in a warehouse. Minimising the stocks of cardboard
reduces the fire risk in the warehouse. For the combustible and flammable materials that remain
arrangements must be made for safe use and storage.
Storage of Flammables
Workplaces in which large amounts of flammable materials are displayed, stored or used can present a
greater hazard than those where the amount kept is small. Wherever possible storage requirements
should be:
• Minimum quantities (50 litres maximum in workrooms)
• Suitably fixed storage tanks
• Keep upright in well ventilated storage area
• Clear marking of containers
• Clearly marked storage area
• Spillage controls by using non-spill caps or bunding
• Adequate ventilation
• Suitable fire-fighting equipment
• Removing likely sources of ignition
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• Trained competent staff

• Adequate Warning signs
Control of Ignition Sources

Poor control of potential ignition sources is a common cause of workplace fires.
• Electrical equipment should be routinely inspected and tested to ensure that it is safe. This will
prevent faults developing that might cause sparks or overheating. Both portable appliances and
fixed installations should be checked.
• Hot work should be controlled with a permit-to-work system unless it is being carried out in a
purpose-built area, such as a welding bay in a workshop.
• Smoking should be controlled in the workplace.
• It is illegal to smoke in indoor workplaces in some countries. Even when it is not illegal, smoking
can be controlled by company policies that ban or restrict it. In all cases, attention must be given
to the safe disposal of smoking materials.
• Cooking and heating appliances should be used carefully and their use closely supervised. In
particular, they should not be left unattended.
• Mechanical heat (such as friction from machinery and bearings) can be controlled by routine
maintenance.
• Deliberate ignition can be controlled by making good security arrangements for the workplace. A
perimeter fence, security staff at entrances, CCTV, security lighting, etc. can help.
Good Housekeeping
Good housekeeping is fundamental to fire safety and is about keeping the workplace:
• Waste-free, by removing waste on a regular basis (e.g. emptying full litter bins) so that it does not
build up and increase the fire risk as a potential fuel source.
• Tidy, so that combustible and flammable materials are returned to safe storage after use (e.g.
solvents returned to the solvent store).
• Well-ordered, so that fuel and ignition sources are kept separate (e.g. ensuring fan heaters are
not obstructed).
Pedestrian routes should also be kept clear (e.g. with no obstructions by the fire-escape door), so that
they can be used in the event of a fire evacuation.
Fire protection measures may be considered under the headings of:

Compartmentation - Wherever possible large spaces in buildings should be divided up into smaller
separate compartments by fire resistant walls which should be carried up to the ceiling or roof. Each
section should be protected from fire in adjoining areas by fire resistant doors which have a fire resistance
of 30 minutes and close automatically in the event of a fire. (Provided they are not wedged open). This
holds back the fire and smoke to enable occupants to safely leave the building.
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Properties of Common Building Materials - Buildings should be constructed wherever

possible using fire resistant materials such as bricks, concrete and steel, etc. Common building materials
include:
Steel: Steel will weaken, deform and/or collapse at moderate temperature. To withstand fire, structural
steel should always be protected by a layer of noncombustible heat insulating material such as concrete.
Concrete: Is a thermal insulator and only allows limited expansion when heated. Most concrete
structures are safe enough to be reinstated to perform their original functions even after a severe fire.
Bricks: Bricks are commonly made from clay, calcium silicate and concrete. Fired bricks are more
resistant to movement in a fire situation. Blocks are commonly made from clay or concrete. Fire
resistance is increased the greater the thickness of the block. Blocks offer high fire resistance with little
risk of collapse and are commonly used for walls of fire compartment.
Timber: Timber does not expand significantly under the influence of heat and does not suffer sudden
collapse. Fire resistance of timber can be increased by the selection of fire resistant timber and increased
thickness allowances for charring.
Plywood Boards: The susceptibility of plywood boards to fire depends on the grade and quality of timber
used and the board thickness.
Stone Cladding: Stone is often used to clad structure, which increases the fire resistance. Stone,
however, is brittle and likely to crack and fail when subjected to heat or to subsequent rapid cooling.
Aluminium Alloy: These are often used as cladding in buildings. They are light and resistant to corrosion.
The disadvantage is that they weaken rapidly in the fire.
Plaster: Plaster has good fire resistance properties. They are used to line walls or as plasterboard to line
steel frame or timber stud partitions.
Plastic: These are used in pipework, coatings to windows, doors and various forms of internal finishes.
Plastics soften with heat and will melt so in a fire may form burning droplets which could help the fire to
spread.
Glass: Glass is noncombustible so will not contribute to a fire. Glass can be glazed to give fire resistance.
Protection of Openings and Voids - Unprotected openings and voids provide the potential for
fire spread beyond the immediate area of the fire. Access openings between compartments in buildings
should be protected by fire doors that are either self-closing or fitted with hold open devices that close
automatically in the event of fire to prevent the spread of fire and smoke. Where a void is used for the
passing of services or ductwork, appropriate fire stopping barrier or seal must be installed. Proper, timely
inspections shall make sure that the integrity of any fire stopping is maintained. Ceiling and floor voids
should be clear of debris. Voids may be hidden or difficult to access. The use of automatic fire detection
and/or suppression is often required to ensure prompt discovery and control of an incident.
Suitability of Electrical Equipment

• Controlling potential sources of ignition in a hazardous area may be achieved by:
• Using suitably-rated electrical equipment (e.g. intrinsically safe or flame-proof)
• Ensuring electrical equipment is effectively maintained
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• Ensuring electrical equipment is properly earthed

• Develop and use a safe system of work like permit to work systems to control hazardous hot work
activities. Example, hot works in flammable atmospheres.
Where electrical installations or devices are needed to be situated or utilised in a dangerous area e.g.
lighting, pumps, control systems, forklift trucks, detectors, torches, etc., these must be designed and built
so that they cannot release energy within the hazardous location that suffices to cause an ignition. Such
equipment should be appropriately rated for usage in a hazardous atmosphere and created to be
‘inherently safe’, or ‘flame-proof/encapsulated’. Any devices developed and built to operate within a
hazardous atmosphere needs to likewise be provided with documentation declaring which zone (i.e. 0, 1
or 2) it appropriates to operate within. Make sure devices within a hazardous area follows the zone
assigned to the area, i.e., zone 1 ranked devices should only be allowed within a zone 1 dangerous
location. However, zone 1 or zone 2 devices is allowed within a zone 2 hazardous area as zone 1
equipment is more conventional than zone 2.
• Category 1 equipment is designed to a very high level of protection. These are designed to be
used in places where explosive atmosphere caused by gases, vapours, mists or air/dust mixtures
is present continuously, for long periods or frequently.
• Category 2 equipment is designed to a high level of protection. These are designed to be used in
places where explosive atmosphere caused by gases, vapours exists.
• Category- 3 equipment is designed to function where a normal level of protection is the norm.
These are used in places where explosive atmosphere caused by caused by gases, vapours, mists
or air/dust mixtures are unlikely to occur.
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10.3 FIRE ALARMS AND FIRE-FIGHTING

Common Fire Detection/Alarm Systems
Obviously, the earlier a fire is detected, the more time there is for the occupants to escape and the
chances of extinguishing or containing the fire improved. Smoke detectors are widely used as usually the
first detectable sign of fire is smoke. There are problems in areas where there is dust or steam as these
may set off the alarm. Heat/flame detectors may be used as a means of triggering sprinkler systems etc.
The disadvantage of these is that toxic smoke may be given off from burning materials before sufficient
heat or flame is generated to trigger the device.
It is essential that the fire alarm is audible in all parts of

the premises. In noisy areas, premises where the deaf are
employed or where an audible signal may cause panic to
the public, an additional signal, e.g. flashing light may also
be provided. The warning may be manual or automatic
such as:
• Gongs, bells, etc. suitable for small single storey
buildings with low risk.
• Break glass points - audible signal throughout the
building with indication on a central control
board.
These have the disadvantage in that they rely on people
to detect the fire and sound the alarms. If a person sees the fire they can activate a manual call point and
raise the alarm. If there is no person present then the automatic detectors will activate the system and
raise the alarm. This type of system is commonly used to protect medium to high-risk workplaces, multi-
storey buildings and workplaces where sleeping accommodation is provided (such as care homes). An
automatic fire-alarm system can be quite simple or very complicated, depending on the workplace in
which it is installed. In some workplaces the building is subdivided into zones and the fire-alarm system
can give different warning sounds depending on which zone the fire was detected in.
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Means of Fighting Fire

Extinguishing fires depend on the removal or reduction of one component of the fire triangle. This means
considering the three elements of fuel, oxygen and heat.
• Fuel -The fuel may be removed from the source of heat or another example is to close off a valve
to shut off the supply of flammable gases or liquids.
• Oxygen- The method to remove the oxygen is to smother the fire by placing a barrier between
the oxygen and the fuel. This can be done by using a blanket, foam, dry powder, sand, etc.
• Heat- The aim is to reduce the temperature of the fuel. This can be done by using water.
Portable Fire Fighting Equipment

Only when a fire is not spread and remained contained can be fought with the use of a fire extinguisher.
Portable firefighting equipment is useful for small office fires, where the contents burning are known and
are within the effective range of the extinguishers. Since the discharge time for these fire extinguishers is
very limited, it is not suitable for a fire that is fully grown.
Siting of Fire Extinguishers

When a location/siting of fire extinguisher is considered, the following factors must be kept in mind:
• Accessibility
• Proximity to exits and escape routes
• Clearly visible and their location indicated by
signage
• If workplace layout is uniform, extinguishers
should be sited in similar positions on each
storey
• Located on the ground with adequate support.
(1 meter for heavy extinguisher and 1.5 meters
for smaller extinguisher)
• Be of a suitable type
• Protection against damage and weather
Maintenance of Fire Extinguishers

Arrangements for the inspection and maintenance of fire extinguishers in the workplace include:
• Daily checks (Fire Warden) to ensure extinguisher is in proper place has not been discharged, lost
pressure or been damaged
• Weekly inspection (Fire Warden) of safety clips, indicating device, corrosion, external damage
• Annually serviced by a competent person to manufacturer’s instructions and the date recorded
on the extinguisher
• Extinguishers should be discharged tested at regular intervals
• Five yearly extended services by a competent person including full discharge
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Training on Use of Fire Extinguishers

Training should be arranged for those required to safely control a fire with an extinguisher. Only those
who are competent and trained in the proper use and maintenance of fire extinguishers may use them to
fight fire when appropriate. Every successful program should combine classroom and hands-on
instruction. Topics should include the purpose, techniques of use, hazards and limitations of fire
extinguishers. The contents of the training program should include:
• Principles of fire
• The origin of fire/Contents
• Type of fire/classifications and the extinguishing agent required
• Identifying and marking the fire extinguisher location
• Need to routine inspections
• Use and its limitations, if any
• Assessing a fire hazard/risk situation
• How to use a fire extinguisher effectively and safely
Extinguishing Media
Water
Water extinguishers should only be used on class A fires. It cools the burning material and lowers its
ignition temperature; therefore, removing the heat part of the fire triangle, and the fire goes out. Water
is the most common form of extinguishing media. Note: Never use water on electrical or flammable liquid
fires.
• Can be used on the majority of fires • Water is a conductor that can lead to short
involving Class A solid materials circuits and the risk of shock.
• Excellent cooling properties • Not suitable for electrical fires
• Inexpensive to refill • Flammable liquids will float on water and
• Refill facilities readily available continue to burn or vaporise to form an
• Low hazard, non-toxic explosive cloud.
• Used at the majority of fires • Damage and destroy equipment
Foam Extinguishers
Foam extinguishers contain water and a chemical which produces foam. The foam provides a “blanket
effect which smothers the fire, thus separating the fuel from the air supply. It also has a cooling effect.”
These extinguishers are most effective when dealing with Class ‘B’ fires, i.e. flammable fluids.
• Prevent fire re-starting • Damage and destroy equipment
• Can be used from distance and elevated • Not suitable for electrical fires
areas • Can be irritating to the skin and eyes
• Provides an airtight blanket over burning • Corrosive to some metals and may speed
liquid deterioration of some types of seal
• Visible during and after application material
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Dry Powder Extinguisher

The powder has a smothering effect and chemically interacts and excludes oxygen. Designed for Class A,
B and C fires but may only subdue Class A fires for a short while.
• Powders generally provide extinction • Risk of re-ignition
faster than foam • Corrosive to electrical equipment
• Can cover a large area • Powder can harden and solidify in
• Can be used in Class A, B & C fires container
• May be difficult to clean up
Carbon Dioxide (CO2) Extinguishers

Smothers with an inert gas blanket and excludes oxygen. This type is in effect a high-pressure gas cylinder
containing liquefied CO2 and fitted with a nozzle. It is safe to use on electrical fires (it causes little damage
to expensive electrical equipment) and on burning liquids.
• Safe to use on electrical fires • Asphyxiation can occur in a confined
• Non-corrosive, non-damaging to space
equipment • The discharge tube and nozzle should
• Minimal chance of re-ignition in enclosed never be held in the hand during
space operation, as icing occurs which can be
very harmful to the skin, causing frost
burn
• Risk of re-ignition in open space
Access for Fire and Rescue Service Vehicles

To avoid time delay buildings should be designed with unobstructed routes to allow access to fire and
rescue service vehicles. Buildings which are provided with vehicle or pedestrian gain access to for fire and
rescue service personnel need to have a door admitting to the interior of the building. Inward opening
doors are more suitable since this allows simpler break-in by fire and rescue service workers should the
need develop. However, an outside opening final exit door or emergency situation door must likewise be
considered as offering ideal access. In order to allow unblocked access to a domestic building for fire and
rescue service personnel, a sufficiently wide walkway roughly 900 mm broad must be offered to the
regular entrances of a structure.
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10.4 FIRE EVACUATION

Means of Escape
When a fire emergency occurs and people have to evacuate a
workplace there must be one or more escape routes available for
them to use. This escape route is the “means of escape”. Local
regulations, codes of practice and standards vary in determining
exactly what might be required in each specific circumstance, but
the following general principles can be applied:
• There should be a means of escape available to every
person in a workplace, whether they are in an office,
workroom, plant room, basement, on the roof, or on a
scaffold on a construction site.
• The means of escape should allow an able-bodied person to
travel the entire route by their own unaided effort. They
should not have to use machinery (such as a passenger lift)
except in special cases (when the machinery must be rated for escape purposes).
• The means of escape must take a person from wherever they are in the workplace to a place of
safety outside the building where they are able to move away unrestricted.
• Two or more separate escape routes may have to be provided so that if one route is blocked there
is another available. This is common in high occupancy multi-storey buildings.
• The travel distance that a person has to cover from their location in the building to the final exit
out of the building should be as short as possible (and must normally meet specific maximum
distance criteria).
• The width of corridors, passageways and doors should be sufficient to allow the free and fast
movement of the numbers of people that might be anticipated (and must normally meet specific
minimum width criteria).
• The escape route should be clearly signed and appropriately lit.
• Emergency lighting should be provided where necessary (in case the mains power supply fails).
• The route that a person has to take should be unimpeded by obstructions such as stored material
or inappropriate doors.
Many factors affect the exact specification of the means of escape. Two important factors are the number
of people that will be occupying any given room or area, and the general level of fire risk of the workplace.
So, for example, the means of escape for a low-risk workplace with a small number of employees present
(e.g. 10) might consist of one exit involving a long travel distance. However, this would be unacceptable
for a high-risk workplace with a large number of employees (e.g. 200), where several alternative exits with
short travel distances would be required.
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Travel Distance
The quickest and shortest route to a place of safety could be referred to travel distance, which is:
• There is fixed seating or other fixed obstructions, is along the centre line of the seating and
gangways.
• It includes a stair, is along the pitch line on the centre line of travel.
• The distance should be measured from all parts of the premises to the nearest place of reasonable
safety, which is:
o A protected stairway enclosure (storey exit)
o A separate fire compartment from which there is a final exit to a place of total safety; or
o The nearest available final exit.
Each escape route should be independent of each other and arranged so that people can move away from
a fire in order to escape. Routes that provide means of escape in one direction only, e.g. from a dead-end,
should be avoided wherever possible as this means that people may have to move towards a fire in order
to escape. Escape routes should always lead to a place of safety. This should be wide enough for the
number of occupants and should not normally reduce in width. The distribution of people within a building
should be considered in the provision of travel distances to fire resistant places of safety. In many cases,
there will not be an alternative at the beginning of the route. For example, there may be only one exit
from room to a corridor, from which point escape is possible in two directions.
Stairs
Stairways should be of sufficient width for the number of people who are likely to use them in an
emergency and should not normally be less than 1 metre wide. A single stairway may be suitable in low
or normal fire risk workplaces where:
• It can be reached within the travel required distances.
• It is a protected stairway linking no more than three floors above and one floor below ground
level.
• Is of sufficient width for the occupancy.
• Leads directly to a final exit.
Stairways should be protected by fire resisting partitions and fire resisting self-closing doors (except toilet
doors) and lead directly to a way out of the building.
Emergency Lighting
All escape routes, including external ones, must have sufficient
lighting for people to safely evacuate. Emergency lighting
should clearly indicate the entire escape route and provide
illumination of fire alarm call points and fire-fighting
equipment.
Passageways
Corridors and other escape routes should not be less than 1m wide, and in the case of offices, where
corridors are longer than 45m, they should be subdivided by fire-resisting doors and be unobstructed and
kept free of combustible materials. Corridors and stairways forming a means of escape should have at
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least half-hour fire resistance. Stairways should be at least 800 mm in width, and be fire resistant, along
with doors connecting them. A single stairway is sufficient in a building of up to four storeys only.
Fire Door
The term fire door refers to a fire resisting door set (door-leaf, glazing, frame and furniture). Fire doors
are required to act as a barrier to the passage of smoke and fire. Fire door integrity is maintained as the
door-leaf is designed not to warp in the frame under the effects of fire. Secondary restraint is then
provided by the clamping action of intumescent seals. Fire doors should be fitted with effective self-
closing devices and labelled ‘Fire Door Keep Shut’. Self-closing doors may be held open with automatic
door release mechanisms linked to the fire alarm system or activated by independent smoke detectors
(not domestic types) either side of the door. The release mechanism should operate on power failure, on
fire alarm activation or operation of one of the independent smoke detectors. Fire doors to cupboards
and service ducts need not be self-closing provided they are kept locked shut and labelled ‘Fire Door Keep
Locked Shut’.
Exit and Directional Signs

Emergency escape routes and final exit doors should be indicated by suitably located signs.
• All signs should conform to the requirements of country specific legislation and standards which
often requires at least a pictogram.
• If the route to be taken is not obvious the signs may incorporate a directional arrow.
• On staircases and ramps, the arrow should leave no doubt as to whether the route is up or down.
• Signage can also be supplemented by words such as ‘Fire Exit’.
• Where possible signs should be placed above doors and openings to which they relate, not less
than 2 metres above floor level.
• Curtains should not obscure signs above doors, and when using suspended signs, it may be
necessary for the sign to read from both sides and not be obscured by light fittings, changes in
ceiling levels or other signs.
Assembly Point
An assembly point is a safe place away from the immediate danger where persons can be accounted for,
e.g. a roll call can be taken. There may be more than one
assembly point for staff and visitors, depending upon the number
of people involved. Assembly points should be indicated by
signage.
Emergency Evacuation Procedures

• In the event of a fire occupant of a building will need to
know what to do. Employers should have adequate pre-
planned evacuation procedures (an emergency plan) in place and ensure employees are trained
in those procedures. The procedures should be regularly tested as fire drills, e.g. at least twice a
year. The emergency plan will need to take account of all persons likely to be on the premises at
any time. Essential requirements for evacuation procedures include ensuring:
• The alarm is recognised and responded to.
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• Escape is made via designated escape routes.

• People do not put themselves at risk, e.g. by using lifts or unduly delaying their escape.
• Actions of persons with specific responsibilities.
• The emergency services are contacted.
• Any communications during the evacuation, e.g. between those assisting the evacuation, those
assisting evacuation and the evacuees and the person controlling the incident and the fire and
rescue service.
• Safe assembly to a point clear of the building.
• All persons are accounted for, either by roll call or by nominated persons checking the building
during the evacuation.
• Nobody re-enters the building until it is safe to do so.
In certain circumstances, the procedures may require consideration of the use of evacuation lifts and
evacuation procedures for disabled people, e.g. use of refuges and places of relative safety. Other factors
to consider are overnight occupancy, example:
• Care for evacuees, including provisions for accommodation, blankets and similar for night time or
bad weather evacuations.
• Reuniting family groups.
• Notifying relatives and providing transport home.
Fire Action notices should be displayed prominently on exit routes informing people of the action they
should take on either hearing the alarm or discovering fire. All instructions should be given in a way that
is readily understood, taking account of those with hearing, sight or learning disabilities.
Role and Appointment of Fire Marshals

Sufficient nominated competent fire marshals should be appointed to ensure the building has been
evacuated and someone to record the event for post incident analysis and record keeping. Specific fire
duties that should be allocated to trained fire marshals include supervising the evacuation from each
storey, ensuring that all people have left each area and reporting to that effect to the person in charge;
Ensuring that doors are closed as each storey or compartment is cleared.; Ensuring that everyone
assembles at a place of safety and is accounted for so that if anyone is missing the fire and rescue service
can be informed on their arrival.; Meeting the fire and rescue service on its arrival and giving all relevant
information.; Ensuring that people do not re-enter the building until authorised to do so. Instructing
people not to move cars which are parked within or near the building, because of the risk of impeding
access to the emergency services.
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The Purpose of Fire Drills Including Roll Call

Fire drills form an important part of ensuring the safety of employees and others at a workplace. The
purpose and benefits of carrying out these drills include:
• Testing the effectiveness of the evacuation procedures both generally and in relation to specific
requirements, e.g. ensuring the safety of disabled employees and visitors.
• Testing management arrangements.
• Providing instruction to employees on the actions to be taken in emergency situations.
• Checking that the alarm can be heard in all parts of the premises.
• Identifying weaknesses in emergency communications procedures and systems.
• Familiarising employees, particularly those new to the undertaking, with the alarms, evacuation
procedures, escape routes and assembly points so that, in the case of a real emergency, they
would know the actions to take.
• Assessing the reliability of equipment.
• Providing the opportunity for fire wardens and others with specific functions to practise their
designated roles.
• Rehearsing joint action with the fire service / other occupiers.
Provisions for People with Disabilities

Staff with hearing or other disabilities must be accommodated within an evacuation plan. Plans must be
in place to assist people in wheelchairs who cannot use stairs if a lift is inactivated (in most cases, lifts and
escalators are not appropriate as escape routes). Provision must also be made for the needs of other
groups with limited mobility, such as children and elderly people. Temporary illness and infirmity must
also be taken into account, e.g. a worker with a broken leg must be accommodated in the evacuation
plan.
When putting these arrangements in place, the nature and degree of disability or infirmity should be taken
into account, ideally in consultation with the individual concerned. Various solutions might then be
considered:
For example:
• A worker with some hearing impairment might be capable of hearing the audible fire alarm in
their work area, so no special arrangements are required.
• A profoundly deaf worker might not be able to hear the audible alarm, in which case a visible
alarm (flashing light) might be used in conjunction with the audible alarm; or a buddy system
might be adopted where a colleague alerts the worker to the fire alarm; or a technical solution
might be sought involving a vibrating pager.
• A wheelchair user above ground level in a multi-storey building might be provided with a refuge
adjacent to the stairwell (a protected area where they can wait for a short period of time). They
might then be helped down the stairs by nominated responsible individuals, perhaps with the aid
of an “evac-chair”. Note that they should not be left alone in the refuge and that their safe
evacuation is usually considered the responsibility of their employer, not the fire and rescue
service.
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Building plans to include details of emergency escapes.

The means of escape should be shown on the plans of a building. These plans usually constitute one of
the records contained in the fire risk assessment. In some situations building plans should be displayed in
the building (e.g. in a multi-storey building, a plan of each floor may be displayed on that floor) so that
those within it can clearly see what their escape routes should be. Examples of building plans are often
found on the back of hotel-room doors.
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Summary
This element has dealt with some of the hazards and controls relevant to fire in the workplace. In
particular, this element has:
• Outlined some of the basic principles of fire such as: the fire triangle; classification of fires; the
methods by which fire can spread; and some of the common causes and consequences of
workplace fires.
• Explained how fire and the spread of fire can be prevented by controlling potential fuel sources
and potential ignition sources.
• Outlined the structural measures that exist to contain fire and smoke in the event of a fire starting,
and the use of self-closing fire doors to protect door openings.
• Described the general principles of fire detection and alarm systems.
• Discussed the main types of fire extinguisher commonly used, such as water, foam, dry powder
and carbon dioxide, and the strengths and limitations of each type.
• Outlined the need for electrical equipment used in flammable atmospheres to be suitable for such
environments (with reference to the European ATEX directives).
• Outlined the principal characteristics of a means of escape, such as: travel distances; number of
available escape routes; escape route width; design of any doors in the escape route; assembly
points; signage; and emergency lighting.
• Described basic requirements for evacuation procedures, fire marshals, training and information,
fire drills and special procedures for the infirm or disabled, and the inclusion of escape routes in
building plans.
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ELEMENT 11: ELECTRICITY
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Learning outcomes
11.1 Outline the principles, hazards and risks associated with the use of
electricity in the workplace.
11.2 Outline the control measures that should be taken when working with
electrical systems or using electrical equipment in all workplace conditions.
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11.1 HAZARDS AND RISKS

Principles of Electricity
Electricity is a very useful form of energy, and it all depends on how people would be treating it/handling
it that will determine whether it is safe or hazardous. It had become an integral part of human life,
whether work or home. At workplaces, it’s often use of unsuitable equipment, and lack of competency is
the major cause of accidents. For an electrical current to do its job of providing lighting, heating and
power, it must move safely from its source, through the conducting path and back from whence it came.
In short, electric current requires a suitable circuit to assist its flow without danger.
The circuit must be of suitable conducting material, e.g. copper, covered with an appropriate insulating
material (to stop the current ‘leaking’ out) such as PVC or rubber. For an electrical current measured in
amperes to flow in a circuit, it requires pressure (voltage), measured in volts. As it flows it encounters
resistance from the circuit and apparatus and this characteristic is measured in ohms.
Ohm’s Law: This relationship between volts, amps and ohms is brought together in the famous Ohm’s
law often learnt at school. Thus, to put it simply, the current in a circuit is proportional to the voltage
driving it and inversely proportional to the resistance it has to overcome.
Ohms law explains the relation as follows:

• V = I x R (Volts)
Electrical power (P) is given as:
• P = V x I (Watts)
These equations are used to calculate and determine the fuse ratings for appropriate electrical equipment
and the current flowing through a person who may inadvertently touch a line supply.
Conductors
Some materials allow electrical current to move easily. These materials have little resistance and are called
Conductors. All metals are good conductors.
Insulators
Some materials have high resistance to electrical existing (e.g. plastic, rubber wood) and are called
insulators.
Hazards and Effects of Electricity

As discussed before, the hazards and effects of electricity all depend on how it is used and handled. The
principal hazards associated with electricity are:
Electrical Shock
An electric shock occurs when current flows through the body. This can happen in two ways:
• Direct contact which means that a person comes into contact with a live conductor that is
supposed to be live. The main causes are deliberately working near exposed live circuits e.g.
working near overhead power lines.
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• Indirect contact means that a person comes into contact with a conductor that is not live under
usual conditions but has become live due to fault.
The ability to survive an electric shock will depend on:

• The Current in Amperes. Anything above 25 mA (twenty-five thousand of an amp) could be lethal.
• Length of contact time (speed of action of fuse or circuit breaker)
• The path through the body. The two most common paths are hand to foot and hand to hand.
• The conductivity/resistance of the body. This varies among individuals and circumstances e.g.
sweating will increase the conductivity of the skin.
• The voltage. If the voltage is high, it will be able to overcome the resistance. Voltages below 50V
and preferably below 25V are preferred.
• The conductivity of the environment. A shock received in a wet area would probably be more
severe than in a dry area.
• The nature of the contact. A small contact area will tend to resist flow whilst full hand contact can
lead to locking on which means the hand is unable to let go.
• Age and health status of the victim.
If we look at most of the accidents related to electricity, we can see that it mainly occurs due to people
getting closer to electrical equipment which is thought to be energised or dead, and/or due to
incompetent handling of live energised equipment without proper precautions in spite of knowing that
they are living.
Arcing
Arcing is where electricity jumps across an air gap. It occurs in a very limited way inside some low-voltage
electrical equipment (e.g. a portable electric drill).
The dangers associated with arcing increase at higher voltages because the distance that electricity can
arc through air is determined primarily by voltage: the higher the voltage, the greater the distance. High-
voltage power lines can arc across distances of more than 10 metres through air. The main risks associated
with arcing are:
• Electric shock as a result of being struck by the arc.
• Direct burns as a result of being struck by the arc.
• Indirect burns from the radiant heat given off by the arc and from the melting of any equipment
struck.
• Damage to the eye as a result of the ultraviolet light (UV) that is emitted by the arc.
Fire and Explosion

Electric flow through a conductor generates heat. If a significant flow passes through an unsuitable
conductor, the excessive heat caused can lead to fires. Also, electricity even at low current or voltages can
ignite flammable gases, dust or vapours.
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The leading causes of electrical fires are:

• Inadequate circuits for the current e.g. 5amp wiring carrying 13amp
• Overloaded circuits e.g. use of multiple socket adaptors
• Incorrect fuses, nails or wire to replace the fuse.
• Damaged wiring and insulation
• Loose connections
• Overheating of cables on coils
• Overheating due to thermal insulation
• Overheating due to lack of ventilation
• Flammable materials close to electrical equipment
Burns
These can be a product of arcing where the intense heat of the arc causes burns to the skin at the entry
and exit points on the body, or they can result from an excessive flow of electricity through the tissues of
the body causing tissue damage.
Secondary Effects
Any sort of injury that results indirectly from receiving an electric shock is a secondary effect.
Common secondary-effect injuries occur when people undergo violent muscle contractions during an
electric shock accident. They may be thrown across a room and receive cuts, bruises and broken bones as
a result. If they happen to be working at height off a ladder, then even a relatively minor shock can cause
enough of a reaction to lead to a fall.
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Summary of Effects
The effects on the body of electricity can be:
• Damage to the nervous system
• Ventricular fibrillation (Irregular heartbeat)
• Tissue burns at entry and exit
• Damage to internal organs
• Muscular contractions, leading to not-let-go situation
• Stopping breathing (Respiratory paralysis)
• Stopping the heart (Cardiac arrest)
There may be secondary effects such as being thrown backwards and possibly falling.
Portable Electrical Equipment

Portable electrical equipment can be defined as equipment with a cord and plug on it that can be moved
from one location to another for use. (Whether it actually is moved is irrelevant; a photocopier may never
be moved but it has a cord and plug and is, therefore, portable.) A high proportion of electric-shock
accidents involve portable electrical equipment.
As an example of vulnerable portable electrical equipment, consider a small concrete breaker used on a
construction site. It is:
• Subject to frequent heavy use in an outdoor environment.
• Often handled and transported.
• Used by a variety of users who may not own the item and therefore have little interest in taking
care of it.
The same hazards apply to these types of equipment, but the risks can be different, especially with
portable appliances. Portable electrical equipment has been the main culprit in almost one-quarter of all
electrical accidents. The common injuries are caused by electric shock, but many others result in burns
from arcing or fire.
Working Practices
Unsafe working practices with portable electrical equipment mainly include choosing the wrong
equipment for the task and not compatible with the environment it is used. Another main issue is not
properly installed, inspected, and operated, cleaned and maintained. Using of damaged equipment and
not having a system of returning and replacing worn out equipment could also lead to major electrical
accidents. Unauthorised modification and carrying out any modifications or adjustments to the
equipment without isolation. Equipment which is not specifically designed to be used in that environment,
if being used could lead to major electrical accidents. For example, use of equipment producing heat or
spark in an atmosphere where there could be the presence of flammable gases. Or, use of equipment in
a wet atmosphere, while it has no means to protect from water ingress.
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Inspection of Equipment
The main areas to consider when looking for the dangers in the use of portable electrical equipment are:
Part/Component Inspection items
• No fuse or fuse replaced by nail
• Damage to plug casing
Plug
• Incorrect wiring inside plug
• Earth wire detached from connection
• Being run over by vehicles
• Dragged over rough surfaces
Cable/Lead • Trapped in machinery
• Exposed to hot surfaces or corrosive
chemicals
• Leads pulled out of cord grips
• Wrong connections
Joints/Connections
• Poor earth connections preventing fuse
from working
• Damaged casing
Appliance
• Worn or damaged connections
From the above, a checklist can be developed for the user and other competent persons to perform an
inspection without missing the key areas to focus. The precautions required to prevent accidents when
using portable equipment begins with selecting the right equipment for the job. The first reference point
here would be the manufacturer’s recommendations. Besides, that other typical engineering and
administrative controls are listed below:
• Reduced voltage operation
• Use of residual current circuit breakers
• Apparatus and cables should be protected against overload by fuses and/or circuit breakers
• All cables should be insulated and protected against mechanical damage
• Correct types of sheathing to suit working conditions
• Sufficient socket outlets to minimise the need for trailing cables
• The use of cable drums wherever possible
• Correct maintenance and repair
• Correct connections
• Regular inspections and checks to remove damaged equipment
• Properly trained operators
Use of Poorly Maintained Electrical Equipment

Equipment provided for protecting persons at work on or near electrical equipment should be suitable,
maintained and properly used. The person using the equipment should carry out a simple inspection of
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the equipment prior to use. Furthermore, the user should be capable of identifying and recognising the
deterioration on equipment over time. The user should check for the following:
• Damage to the cable sheath.
• Plug damaged like the cracks in the casing; the pins are bent or signs of overheating.
• Joints and connections in the cable are not properly done. For example using tapes or tying the
naked cables together to join them.
• The insulation and the sheath protecting the cable are not adequately secured where it enters
the plug or the equipment. Visible evidence would be if the coloured insulation of the internal
cable cores were showing.
• Equipment being exposed to conditions for which it is not designed and suited for, e.g. it is wet or
excessively contaminated.
• The body casing of the equipment is cracked or damaged, or the parts are lost, screws are not in
place.
• Evidence of overheating (burn marks or discoloration).
These checks should also be applied to equipment connecting the appliance to the electrical supply e.g.
extension cables, plugs, etc. Any defects noted during the examination should be reported via a
recognised procedure, and the appropriate response can then be applied e.g. repair, replacement or
removal from service.
Work near Overhead Power Lines

High voltage currents can jump in an air gap, so
it is not necessary that a person needs to
physically come into contact with the live parts
of the equipment to get electrocuted or suffer
burns. To minimise this risk, it is always desirable
to maintain the maximum practicable distance at
all times between any person and any item of live
electrical equipment.
Under normal circumstances, the presence of

fences and/or barriers, or the suspension of live
conductors on wooden or metal towers provide adequate clearance to ensure that electric shock or arcing
do not occur. Coming into contact with energised overhead power lines causes fatalities and serious
injuries to people working around or near them, every year. Unfortunately, many inadvertent line contacts
prove fatal.
If work is necessary to be carried out at or close to OH power lines, planning, assessment and application
of the general hierarchy of control should be considered, i.e. can the work be avoided, if not, make the
lines dead during the work or provide necessary precautions. In some cases, it may be required to use
suitable combinations of these measures. The safeguards that need to be taken would depend upon the
type of work that required to be done at the site.
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The categories of work can be classified as:

• Areas, where there are no planned work or no vehicles and plants, will pass under the OH lines.
• Areas where vehicle and plants will pass under the OH lines; and
• Areas where activities shall be carried out below the OH lines
Irrespective of the kind of work and duration of the work, the owner of the OH lines must be contacted,
and permission must be sought before carrying out any activity
Contact with Buried Power Cables during Excavation

During excavation work, damage can be caused when a cable is cut through by sharp things such as the
point of a tool and/or Crushed by a heavy object or power tool. The cable that has been previously harmed
however left unreported and unrepaired can cause events. Every underground cable should be at such
depth or be otherwise protected so as to avoid any damage. Protective tiles or marking tapes should be
placed above cables to warn any person excavating in the vicinity and maps made to indicate cable runs.
Underground services can be easily damaged during excavation work. In the absence or appropriate
precautions, it is all too easy for workers to hit these services, resulting in harm to themselves and to
anyone who is near by the heat, flame or splash of molten metal which is given off when the cable is struck
by the tool and from the interruption of services to hospitals, emergency services, etc. Injuries are
generally caused by the explosive effects of arcing current and by any associated fire or flames which may
result when sharp things, such as the point of a tool, permeates a live cable. Such impacts can likewise
take place when a cable television is crushed severely enough to cause internal contact between the
conductors or in between metal sheathing and one or more conductors. Injuries are usually severe,
possibly deadly, burns to the hands, face and body. Direct electric shock is less likely.
Use of Electrical Equipment in Wet Environment

Because water decreases the resistance of objects and environments to the passage of electricity, any
work using electrical equipment in wet environments increases risk. Not only are electric-shock accidents
more likely to happen in wet environments (because normally-insulating materials will start to conduct),
but the severity of injury received can be greater (because lower resistance means higher current flow).
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11.2 CONTROL MEASURES

Protection of Conductors
All conductors in an electrical system must be physically shielded or suitably covered with insulating
material and as necessary protected to prevent exposing people to danger. They must be sited at an
appropriate and safe place as a precaution against danger.
Strength and Capability of Equipment

The selection of equipment should consider where it is going to be used, and the environment it is going
to come into contact with. Equipment should not be used where its strength and capability may be
exceeded in such a way to give rise to danger. The ability of the equipment to withstand thermal,
electromagnetic or other effects arising from its use should be anticipated in its design and construction.
Electricity Protection Devices

Fuses
A fuse is a device used to prevent current overload. A simple fuse is made up of two metal caps joined by
a thin piece of fuse wire. When this fuse is incorporated into an electrical circuit, current flows through
the wire. If the current is too great for the fuse wire rating, the wire becomes hot and melts. This breaks
the circuit.
• They are cheap • Easy to override e.g. replaced with
• Easy to install replace wrongly rated fuse
• Protects the equipment from overload • Needs a tool to remove it
• They do not protect the person
Circuit Breakers
Circuit breakers are electromagnetic devices which perform the same functions as fuses although they
operate faster.
• They automatically trip under fault • They may be mistaken for RCDs
conditions • Do not protect the individual
• No tools required to reset • It may fail if not properly designed and
• Protects equipment from overload tested
Earthing
Earthing is a way of protecting equipment so that in the event of an electrical fault, current flows safely
to earth rather than flowing through a person who might be touching the equipment. The earth wire of
an item of electrical equipment is usually connected to the outer metal casing or chassis of the equipment.
If a fault develops and the casing or chassis becomes live then a current will flow down this earth wire.
Electricity always takes the path of least resistance, and since the earth wire will have very low resistance
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the majority of fault current will flow safely to earth through the wire. Any person touching the casing will
receive a minor shock.
• It may prevent indirect electric shock • Requires specialist installation, testing
• Readily identified and maintenance
• If removed no protection
Reduced Low Voltage

The lower the voltage at which an electrical system is operated, the lower the risk of injury associated
with electric shock. This is because of the relationship that exists between voltage and current, as
indicated by Ohm’s law. As voltage is reduced, so the shock current is reduced and the severity of injury
reduced. Countries (such as the UK) that operate on a 230 V mains supply often make use of transformers
to step the voltage down to 110 V for portable power tools. In the UK this is standard practice on
construction sites; all portable electrical tools operate at 110 V or less. Systems that operate at even lower
voltages can be used (e.g. 50 V). Very low-voltage systems (such as 12 V) present very little risk of electric
shock injury.
• At 55V injury unlikely • Specialist equipment e.g. transformer
• Colour coded cables for easy identification required
• Lead from supply to transformer needs
protection with RCCD
Residual Current Devices

Residual Current Devices (RCDs) or Residual Current Circuit-Breakers provide protection against leakage
to earth and consequential risk of shock by comparing the electricity flow to the equipment with the
return flow along the neutral wire. If any difference is detected the equipment is isolated.
• Provide rapid response • May isolate other important equipment
• Difficult to defeat • Mechanical device could fail
• Easy to use, test and reset • No overload protection
Double Insulation
The principle behind double insulation is exactly as the name suggests: there are two layers of insulation
between the user and any live conductors. This eliminates the need to provide earth protection, so
double-insulated equipment will have a two-core cord: live (hot) and neutral only. Double insulation is
commonly used as the means of protection for hand-held portable electrical equipment, such as hedge-
trimmers.
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• Two layers prevent contact with live parts • Damage to equipment casing defeats both
• No earth required the layers of insulation
• Since there is no earthing, there will be no
protection if it is used with equipment
that may require grounding.
Use of Competent Persons

Electrical work from the largest to the smallest installation must be carried out by people known to be
competent to undertake such work. New installations always require expert advice at all appropriate
levels to cover both design aspects of the system and its associated equipment. Individuals working with
electricity need to have a combination of technical knowledge and experience to prevent danger, if they
do not possess this, e.g. an apprentice, they should be adequately supervised.
• Adequate technical knowledge includes:
• Knowledge of electricity
• Experience of electrical work
• Understanding of the system and practical experience of that system
Understanding the hazards and their precautions and the ability to recognise at all times whether it is safe
to continue work.
Use of Safe Systems of Work

Safe Systems of Work (SSW) must be developed when work on or near electrical systems creates risk.
There are several issues that might be considered here:
Working on Live Equipment

Work must not be carried out on or near live electrical systems except in very particular circumstances,
and there may be national laws governing live work. Live work should be prohibited in most instances.
Where live work is justified (because there is no alternative) then there must be a SSW in place to ensure
that the live work can be carried out safely. This SSW is likely to make use of the following controls:
• Permit-to-work system.
• Competent persons.
• Insulating PPE (such as gauntlets and boots).
• Insulated tools and equipment (such as screwdrivers).
• Designated work areas
Isolation /Lock out Tag Out

This means shutting off the electrical supply to an item of equipment or part of an electrical system and
preventing the system from being mistakenly reconnected and is used for example during maintenance
work. Whenever possible, locks are to be used to prevent the power from being unintentionally turned
back on. When locks are used, tags may serve as a backup, to further clarify the procedure. Both locks and
tags must be clearly labelled as to the identity of the person who has applied them.
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Locating Buried Services

Prevention of striking buried services can be achieved by the use of Safe Systems of Work (SSWs), in
combination with detection equipment:
• Plans of the area of the excavation should be obtained.
• Plans do not necessarily show the exact position of buried services, but can give an indication of
the existence of services and an approximate position.
• The buried services should be located using surface clues and detection equipment. A commonly
used device for detecting the location of buried cables is the Cable Avoidance Tool (‘CAT scanner’).
• The buried services should be uncovered by careful digging by hand.
• The exposed services should be identified to ensure that they are those that were expected and
be clearly labelled so that their position is easily seen. It may be necessary to support cables where
ground underneath is being removed.
Digging with mechanical equipment can commence once the above points have been addressed.
Protection against Overhead Cables

Any activities/works near or beneath overhead power lines must be carefully risk assessed and managed
to prevent unintentional contact or close proximity to the lines are effectively managed.
• Be aware of the threats of working near or beneath overhead power lines. Electrical energy can
flash over from them, despite the fact that machinery or devices might not come into contact with
them
• Prevent any kind of work where equipment like ladders, or crane booms could come into direct
contact with the overhead cables. Make sure that at least 6 m distance must be maintained
between the cables and such equipment
• Arrange for the electricity to be switched off before work begins. Allow sufficient time for lines to
be diverted or made dead, or for other precautions to be taken. Contact utility provider before
any action is carried out. If this cannot be done, consult the owners about the safe working
distance from the cables.
• Provide proper instructions and information to all employees and contractors and make them
aware of the risks involved and the necessary safe system of work.
Personal Protective Equipment (PPE)

PPE includes protective eyeglasses, insulated gloves, tough hats, aprons and breathing defence. A lot of
forms of PPE are not pertinent to reducing electrical risks in workplaces, other than in relation to energised
electrical work. The PPEs must be rated for the voltage system being handled or worked on. Ensure the
chosen control measure does not introduce new hazards.
Emergency Procedures Following an Electrical Incident

If, in spite of all the available control measures being in place, an electrical incident occurs in the
workplace, all workers should be aware of the following method for dealing with an electric-shock
casualty:
• Do not touch them.
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• Call for help.

• Switch them off (turn off the power supply).
• Call for an ambulance.
• If they cannot be switched off then carefully push or pull them away from the live part using non-
conducting material, such as timber or dry clothing.
• Check breathing:
o If breathing, place in the recovery position.
o If not breathing, apply cardiopulmonary resuscitation (CPR).
• Treat any obvious burns.
• Treat for physiological shock.
• Make sure they get professional medical treatment (heart problems and internal burns may not
be apparent to the casualty, or the first-aider).
Careful assessment of the situation when approaching the casualty is important for two reasons:
• The casualty may still be receiving an electric shock, in which case touching them will involve their
potential helper in the shock as well.
• High-voltage conductors can arc electric current through the air over large distances (more than
10 metres).
Inspections, Testing and Maintenance

The design and construction of electrical system must consider the complete life cycle of the system and
must have means to protect people who are required to inspect and maintain at regular intervals. In some
countries, there are specified periods, and it is suggested that fixed wiring installations should have tests
every 5 years for low-risk environments (offices) and every 3 years for high-risk environments (Factory).
Portable equipment should also have a system of checks, inspections and tests depending on the type and
place where equipment is being used.
Types of Inspection
User Checks
Carried out before use (daily) to check the integrity of plug, cable and equipment for signs of
damage/overheating.
Formal Visual Inspections

Carried out weekly or every two weeks (depending on the extent of conditions of use) by an appointed
person (electrical competent person) and will include checking fuse ratings and connections to plug and
appliance.
Combined Inspection and test (Portable appliance testing)

These inspections are performed by a competent party at predetermined intervals and may consist of
earth bonding, insulation resistance and earth leakage tests. The frequency of portable appliance testing
varies and needs to be relevant to the risks involved e.g. portable equipment used in environments such
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as construction sites needs to be inspected more frequently than equipment used in an office
environment.
Benefits and Limitations of PAT Testing
Benefits Limitations
• Detection of faults not visible to the eye. • Provides proof of safety at one moment in
• Early removal/repair of unsafe equipment. time only.
• Demonstration of legal compliance. • Does not ensure safe use or prevent
• Trends or patterns of faults may be spotted. misuse.
• Items may be missed and then remain
untested.
Frequencies of Inspection
Factors to be considered, but not limited to be:
• Manufacturers recommendations or other guidance
• Age of equipment
• Robustness of equipment (Impact resistance/casing material)
• Whether double insulated or earthed
• Type of cable (Armoured cable)
• Extent of use
• Users of equipment (Single/multiple users and their competence)
• Environment of use (Mechanical damage/wet environment)
• Foreseeability of abuse or misuse
• History of equipment (Results of previous inspections)
Central records of inspection/testing of portable electrical appliances should be kept for future reference
and inspection by any authorised/regulatory body. An inspection and maintenance record is an inventory
of fit to use equipment and will help the user to choose the right one for the job in hand. It can also
complement the inspection label and could be crosschecked in case the label is worn out or removed.
Records are the only way to which management can be sure of the inspection frequencies being adhered
to and confirm the actions to rectify the faults discovered.
Records of Inspection and Testing

Records should be kept of formal visual inspections and tests as proof of completion, so that a history of
condition and defects can be maintained for future reference.
Formal records should be kept of all maintenance programmes, showing the periods for inspection and
testing. Records of the findings and work carried out should also be kept. Checking systems should be
regularly monitored to ensure inspections and tests are completed on time and that any rectifications or
replacements are carried out appropriately.
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Summary
This element has dealt with some of the hazards and controls relevant to the use of electricity in the
workplace. In particular, this element has:
• Outlined basic electrical principles such as voltage, current and resistance, and the relationship
between the three.
• Described the hazards of electricity as electric shock, burns, electrical fires and explosions,
secondary effects.
• Explained the range of effects of electric shock.
• Outlined the reasons why portable electrical equipment is often involved in electrical accident -
as well as outlining the hazards associated with other activities, such as work near overhead
power lines or underground power cables.
• Described the various protective systems that can be used for electrical equipment.
• Outlined the use of safe systems of work to control the high risks associated with work on or near
electrical systems.
• Described an emergency procedure to be put in place if a person is injured in an electrical incident.
• Explained the importance of user checks, formal visual inspections and combined inspection and
testing, which can be used to ensure the safety of all electrical installations, equipment and
appliances, including portable appliances.
[291]

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Green World Group

ELEMENT 1: WHY WE SHOULD MANAGE WORKPLACE HEALTH AND SAFETY ...................................... 12

Review of Health and Safety Policy......................................................................................................... 42

Change Identification .............................................................................................................................. 81

Sampling, Surveys and Tours ................................................................................................................ 103

Effects of Exposure to Vibration ........................................................................................................... 131

Common Types of Manual Handling Injury .......................................................................................... 154

Carbon Monoxide ................................................................................................................................. 193

Common Causes and Consequences of Fire ......................................................................................... 260

Electricity Protection Devices ............................................................................................................... 285

ELEMENT 1: WHY WE SHOULD MANAGE WORKPLACE HEALTH AND

1.2 Outline the role of national governments and international bodies in

1.1 MORALS AND MONEY

The Size of the Problem

Reasons for Managing Health and Safety

Moral Duty of Care

Levels of Statutory Duties

Direct Costs and Indirect Costs

Direct Costs Indirect Costs

Costs of Insured and Uninsured Accidents and Ill Health

Employer Liability Insurance

1.2 REGULATING HEALTH AND SAFETY

An industrial tribunal can do one of the following three things:

The Role of International Standards

The International Labour Organisation (ILO)

Sources of Information on National and International Standards

External Sources Internal Sources

1.3 WHO DOES WHAT IN ORGANISATIONS

Demonstrating Commitment – Top Management

• Consider health and wellness when deciding senior management visits.

Health and Safety Personnel

Designers, Suppliers and Manufacturers

Occupier of Premises: Joint Responsibilities

The other reasons for using a contractor are:

Pre-Selection and Management of Contractors

ELEMENT 2: HOW HEALTH AND SAFETY MANAGEMENT SYSTEMS WORK

2.1 WHAT THEY ARE AND THE BENEFITS THEY BRING

ILO (OSH) 2001: Occupational Health and Safety Management System

Planning and Implementation (DO)

Planning for health and safety requires organisations to:

Actions for Improvement (ACT)

ISO 45001:2018: Occupational Health and Safety Management System

OH&S Policy and Commitment

Checking & corrective action

2.2 WHAT GOOD HEALTH AND SAFETY MANAGEMENT SYSTEMS LOOK

The Needs of Different Organisations

• Details of the significant findings of risk assessments,

General Statement of Intent

Signatory to Statement of Intent

Organisation Aims and Objectives for Health and Safety

Organising for Health and Safety

This assignment of responsibilities will continue through the rest

Health and Safety Arrangements

General health and safety management arrangements:

Review of Health and Safety Policy

Standards and Guidance on Health and Safety Policy

ILO-OSH 2001 – Guidelines on OHS Management System

The OH&S policy shall be:

• Available as documented information;

ELEMENT 3: MANAGING RISK – UNDERSTANDING PEOPLE AND

3.3 Outline the human factors which positively or negatively influence

3.6 Describe what should be considered when developing and implementing a

3.7 Explain the role and function of a permit-to-work system.