NEBOSH International General Certificate in Occupational Safety and Health

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Version 1.1a (16/08/2011)

1.0 Unit 5: Risk assessment

Overall aims.
On completion of this element, candidates will understand:

the process of risk assessment;

risk assessment recording and reviewing procedures.

Specific intended learning outcomes.

The intended learning outcomes of this Element are that candidates will be able to:

explain the aims and objectives of risk assessment;

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

Sources of reference.
Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001).
Five Steps to Risk Assessment (INDG163), HSE Books.
Occupational Health and Safety Assessment Series (OHSAS 18000): Occupational Health
and Safety Management Systems (OHSAS 18001/18002), BSI.
Recommended tuition time:
Recommended tuition time for this unit is not less than 7 hours.
1.2 Risk Assessment Introduction
In this study section, you will learn about the types of accidents in the work place and their
potential consequences, the losses that may occur, accident models and the steps and
process of risk assessment. You will note that we have included Safe Systems of Work and
Permits to Work (or Work Permits) in this study unit.
Other sections of your study materials should be read in conjunction with this section, for

instance, Accident Investigation and Accident Prevention. You also have some essential
reading, additional to these study units.
We have provided a number of real workplace examples from the relatively low risk retail
and service sector to the complex high risk heavy industry of the quarry. You will of course
have examples of your own on which to draw; this will be of great advantage to you as you
work through the study sections.
Most people would have come across the term Risk Assessment or Assessment of Risk. It is
used in all areas of industry and commerce, in newspapers, television and even in everyday
life. Risk assessment is central to the study and practice of occupational safety and health.
In life, we use risk assessment every day. We make decisions about when it is safe to cross
a road or overtake a vehicle on a bend. However, we do not go through the formal risk
assessment process and write our findings down.
When crossing a busy road, we need to consider the hazards and the risks of injury or type
of injury we may suffer, from a lorry, bus, car or motor bike.
We also need to consider the speed of traffic, the volume of traffic, the gap in the traffic, the
road conditions (wet or icy), our own personal performance with regards to just how quickly
and safely we can cross and the possible consequences of something going wrong.
We can and should use the correct and safe place to cross, zebra or pelican crossing point,
but we sometimes take risks. Even if we get our part right, there is always the risk that a
driver will ignore or - through a lack of attention - not see us stepping out into the road,
whether we are at a safe place to cross or not.
In the workplace, it is a statutory requirement that employers undertake risk assessments for
all their activities. Those that employ five or more employees are required by law to make a
record of their findings and to make arrangements to review the assessments and maintain
the records. In the lowest risk workplace environments, this is relativity simple to achieve. In
the most complex of high risk workplaces, off-shore gas and oil field installations, risk
assessment is highly complex and often highly technical, requiring specialist technicians,
strict management procedures, comprehensive safety systems and highly competent key
personnel.
The following sections of your NEBOSH certificate course will also cover Risk Assessment:

Occupational Health & Safety Law.

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

Enjoy this study unit; make sure that you understand the subject. It is absolutely central to
many of your other study sections, as you will discover.
Just a final point; the environment under study is a workplace and not a domestic dwelling.

1.3 Accidents & Consequences

You will need an understanding of accident causes and statistics. It is vital to your success in
the examination that you are able to recall types of accidents, accident causes and accident
causation models.
Definition of an Accident.
"Unplanned, uncontrolled event leading to actual or potential injury, damage, harm or loss"
Accidents at work can and do happen, and they happen all too frequently. At this point, you
should start to make a list of work activities, working environments and other factors that
may contribute to accidents at work. We will also discuss loss. This is because all accidents
have a loss to some degree or other.
The following will provide you with a start:
Factors affecting safety at work:

Handling, lifting and carrying.

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

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

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

What occupation do you think may potentially suffer from Vibration White Finger?
1.3.2 Factors affecting health and safety at work
Factors affecting health and safety at work
Occupational factors.

Chemicals, equipment, working methods.

Environmental factors.

High noise levels.

Poor lighting.

Dusty atmospheres.
Hot or cold temperatures.

Human factors.

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

This is not an exhaustive list. You need to add to the list and consider what type of
accidents are the most common.
Question 1
A Definition of an Accident is a _____, uncontrolled event leading to actual or potential
injury, damage, harm or loss
Short Answer (HP)
Answer 1:

unplanned

Response 1:
Jump 1:

Next page

Answer 2:

unplaned

Response 2:

There's 2 'N's in unplanned - but never mind ;-p

Jump 2:

Next page

Answer 3:

UNPLANNED

Response 3:
Jump 3:

Next page

Question 2
Out of the Factors effecting health and safety at work, which one do you think is responsible
for the causing the most accidents
Multiple Choice (HP)
Answer 1:
Response 1:

Occupational

Jump 1:

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Answer 2:

Environmental

Response 2:
Jump 2:

This page

Answer 3:

Human

Response 3:
Jump 3:

Next page

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

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

The estimated annual cost to UK society through accidents and ill-health is 11-16 billion.
How do you think this arises? What are the costs? Make a list of where you think the
costs are, e.g. persons with disabilities may require structural changes to their
homes.
Accidents and consequences

major injuries, fatalities, damage or loss;

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

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

Reported injuries and dangerous occurrences:

Injuries
Employees and self-employed

Fatal 180
Major 28,692

Over-3-day 105,222

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

Members of the public

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

How do you think members of the public were injured and in what types of circumstances?
1.4 Statistics Continued.
Prescribed industrial diseases
Lung diseases including:

pneumoconiosis, mesothelioma, occupational asthma, cancer, bronchitis 3,437.

Vibration white finger 3,155.
Carpal tunnel syndrome 478.
Musculoskeletal disorders 465.
Occupational deafness 316.
Dermatitis 220.
Allergic rhinitis 135.

Work Related Injuries:

Musculoskeletal disorders 1.2 million.

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

These figures come from a survey carried out by the HSE in 1995/96. An update is long
overdue, but these figures should give a relative breakdown of the extent of workplace illhealth and disease.
1.5 Costs
Estimated annual costs of work-related injuries and ill-health to individuals and their
families 5.6 billion through:

Human suffering:
o injury,
o pain,

o
o
o

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

Estimated annual costs of work-related injuries and ill-health to UK employers 3.5 to

7.3 billion through:

Compensation claims and insurance.

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

Estimated total annual costs of work-related injuries and ill-health to society 9.9 to
14.1 billion through:

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

1.6 Accident Triangle

There are so many minor accidents from which we can learn. It stands to reason that if we
are aware of all accident causes, we should at least be able to control future loss events.
In Bird's Accident Triangle, you can see the ratio of non-injury accidents in relation to major
injuries sustained as a result of an accident.
Accident records are a useful method of estimating loss when considering risk assessment.
However, we are all aware that some under-reporting may take place throughout a year and
this may be need to be taken in account.
1.6.1 Main causes of injury

Why do you think drowning is a less common cause of accidents and injuries at work
than violence or accidents from animals?
Part of the risk assessment process is the requirement to consider the loss when the hazard
has been identified and the risk calculated. Loss can come in many forms. The most obvious
losses are those that cause injury, either temporary or permanent, leading to disability or
even death.
1.6.2 Injury and loss example
A small cut or graze to a finger may just require first aid treatment. The loss in this case,
relatively speaking is small. However, a loss of time would occur.
Let's consider, for example that cut to the finger: Bob, a machine operator in a large
engineering shop, picks up a tool used in cleaning and due to his inattention, cuts his finger
on the blade end of the tool. Other than a small shallow cut to his index finger, he suffers no
further harm.
The Losses

Bob has to stop his machine.

He has to find the first aider.
The first aider has to stop their work activities.
Both Bob and the first aider walk to the first aid room.
The wound is cleaned.
The wound dressing is applied.
The accident book is completed.
At some point in the future, the entries in the accident book, including Bob's entry,
are counted and a statistical end of year analysis is made.

Both parties now return to work.

The production manager talks to Bob to ascertain how he came to cut his finger.
The production Manager tells Bob to be more careful in the future.

On the production line of a company that makes pre-packed sandwiches, however, a cut
finger is a real concern. The line is stopped, 50 or more sandwiches prior to the incident and
100 after the incident are thrown in the bin. Of course the reason why such precautions are
taken is clear; the possible contamination of food with human blood is not a desired
occurence, given the chance of the blood carrying infections or diseases.
The plant was mostly automated, except the cutting in half of the sandwich that was done by
hand using a large knife. Each time the knife was used, it had to be wiped clean. A cleaning
cloth was used by the production staff who would wipe the knife through the cloth to clean
away any residue left by the previous cutting of the sandwich. A safer method is now used,
but cuts can still occur.
A cut finger cam lead to lost time and more but we shall now consider types of incidents and
the potential of loss.
1.6.3 Types of loss
Types of loss:

Accidents, illness, stress.

Deaths.
Lost time.
Bad publicity.
Poor reputation.
Lowered performance of staff.
Increased sick leave & staff turnover.
Reduced company performance.
Prosecution, fines and imprisonment.
Prohibition and closure.
Compensation claims, insurance costs.
Legal costs.
Unemployment.
Material loss.

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

Figure 6.
In practice, accidents happen for many reasons. It is rare that an accident has a single
cause. Accidents happen because of a series of events. A number of things happen
simultaneously and it is the combination of these casual events which results in the accident.
It follows that if we remove one of these casual events, we should be able to prevent similar
accidents from occurring in the future. You may want to read the section 'Accident
Investigation' at this point.
These casual events are referred to as immediate causes; they are to do with what
happened, the events leading up to the accident.
Root causes differ from casual causes, in that root causes are to do with the underlying
factors, why casual events happened. Root causes are more difficult to identify because they
deal with why the accident happened rather than how it happened. As you will read in the
Incident investigation section, establishing the root cause is an essential part of future
accident prevention.
Let us now consider the Hale and Hale Domino theory, see fig 6 above. In this model, Hale
& Hale say that the cause of an accident lies with the person, with the situation or more likely
with both.
In simple terms, the domino theory says that if one of the events (one of the dominos to the
left) falls, then it will knock over the other dominoes to the right of it and a loss will occur.
The sequence of events will be as follows:
Example 1
1. Lack of supervision and management control means that one or more brackets essential
to the support of a shelving unit will not be fixed in place.
2. An unsafe act occurs; the brackets are not put in place.
3. An unsafe condition results, the brackets are not in place.

4. A loss occurs; the shelving unit fails when items are placed on it and someone is
injured by the falling materials.
Example 2
1. Poor Management, poor written work procedure,poor system of work in place and no
management monitoring mean that brake fluid is not included in braking system.
2. Unsafe act: brake fluid not put in place.
3. Unsafe Condition: brake fluid not in place as required.
4. Loss: damage to car and injury to driver.
It stands to reason that if any one of the events to the left of the loss is corrected, then the
loss will not occur. However, it is important to remember that it is rare that only one domino
(event) is involved in the loss. Another consideration is the types of loss that may be
involved in one accident.

You may want to consider the examples above and make a note of the losses.
1.7 Why do accidents happen?
Why do accidents happen?
There are many reasons why accidents happen. However, we can categorise them in to
human errors, system errors and hard errors.
Human Errors.
These include perception, physical and mental capabilities of people and the interaction with
their job and working environment, the influence of work equipment and systems design on
human performance and organisational characteristics which influence safety-related human
behaviour.
Lack of attention, inappropriate actions, wilfulness, poor attitude, lack of motivation and
wrong perception are all examples of human errors that have the potential to cause incidents
and accidents.

System Errors.
System in terms of safety is the organisational integration of personnel, articles and
substances within a safe environment to produce and maintain an acceptable level of
standards.
System failure can be contributed to by poor means of communication, inappropriate
management objectives established to operate a system, inappropriate polices and working
procedures, poor design of safe methods of working and - most importantly - organisational
structure.

Many human errors contribute to poor systems. It is somewhat difficult to distinguished

between human and system errors. However, if we consider that a system is flawless and
only fails because of human error, we are able to establish a system error.
An example of this might be a system for inspecting components which may be deficient in
its design. A vital check may not be included in the system to inspect.
For instance, while checking the braking system on a car, the system in place may state that
all components must be inspected and the list components may be included to allow a check
list to be completed. If the level of brake fluid is missed because it is not indicated on the
form, this would be a system error. If the brake fluid was on the form and requiring inspection
but was not inspected, this would be a human error.

Hard Errors.
Hard errors are distinguished from human and system errors as they are concerned with the
hardware used in - or as part of - undertaking a task. Failings of materials, equipment,
agents or substances are all examples of hard failings.
Question 3
_____ can be contributed to by poor means of communication, inappropriate management
objectives established to operate a system, inappropriate polices and working procedures,
poor design of safe methods of working and most importantly organisational structure.
Multiple Choice (HP)
Answer 1:

Human factors

Response 1:
Jump 1:

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Answer 2:

Hard errors

Response 2:
Jump 2:

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Answer 3:

System failure

Response 3:
Jump 3:

Next page

1.8 Hazard identification

Hazard identification.

There are several methods of identifying workplace hazards within any company.
These are undertaken with the aim of identifying hazards and assessing their risk potential.
They may be undertaken by individuals, line managers, safety advisers, supervisors or
groups of people who may be members of the safety committee.
Workplace inspections can take several forms. You may have a pre-designed inspection
checklist of areas of work, work activities or machinery etc and the hazards that may be
present. Alternatively, you may take a blank sheet of paper and clip board. Most hazard
identification is undertaken in the context of looking for things that are wrong.
The Hazard Spotting Approach.
Simple, yet effective, but this is a reactive approach. In most cases, as you walk through the
workplace, you will spot hazards of all types. Make a note and consider the risks from that
hazard. Your practical exercise at your examination will take the form of hazard spotting.
In the most basic terms, you are looking for anything with the potential to cause harm/loss.
This could be something obvious i.e. an exposed electric cable or a trip hazard in a walkway,
through to the not so obvious like a hidden poor design feature of a piece of work equipment
or poor design of management controls/systems.
Hazard identification provides information that can be used to manage risks, which, if not
controlled, can lead to workplace accidents. It can also have other benefits, with reduced
workplace claims, insurance payments and lost time incidents.
The process of hazard identification can also assist in:

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

1.8.1 Sources of Hazards

Sources of Hazards
Hazards may arise from:

The workplace environment e.g. insufficient lighting.

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

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

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

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

Items of "plant" may have associated physical, chemical, ergonomic or radiation hazards
and should be assessed accordingly.
Question 4
Badly fitting microwave doors is an example of a
Multiple Choice (HP)
Answer 1:

Radiation hazard

Response 1:
Jump 1:

Next page

Answer 2:

Psychological hazard

Response 2:
Jump 2:

This page

Answer 3:

Biological hazard

Response 3:

Jump 3:

This page

Answer 4:

Plant hazards

Response 4:
Jump 4:

This page

1.8.2 Hazard identification should be carried out

Hazard identification should be carried out:

before and during the introduction of new plant, equipment, chemical or other item to
the workplace;
where there is likely to be a risk to health or safety involved, before and during any:
o alteration to the plant, equipment, workplace;
o change to the way the plant, equipment or an area is used;
o change to the work system; and,
o change in location of the plant, equipment or people.
If new or additional health or safety information associated with the plant, equipment,
chemical or other item or its work system becomes available to the employer.

Components of Hazard Identification.

The key elements in implementing the hazard identification process for plant, equipment,
chemical or other item and associated work systems are listed below:
Develop a register for all hazardous items (e.g. plant, electrical items, and chemicals) - it
should list all items with some details on the location and usage.
Analyse available information about the potential hazards associated with each item and
work system, for example:

Check accident/incident reports - or ask the OH&S Unit for records.

Check breakdown/maintenance records.
Check recommended training information, instruction booklets etc.
Check Codes of Practice and statutory requirments.

Inspect the workplace to identify hazards. Analyse:

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

Record the hazard identification on:

Hazard Identification Checklist, and/or

Hazard Identification Worksheet, and/or
Hazard Register.

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

Previous workplace inspections.

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

1.9 Hazard identification case study - the Chalk Works

This section considers a large milling operation - an industrial mineral works with a chalk
quarry. Chalk is dug from the quarry, crushed through air swept mills and refined through
various air separators (cyclones) and bagged up for sale. This is undertaken on a large
scale, approximately 50 tons or more every hour, seven days a week, 8,400 tons a week.
The end product with the consistency of talcum powder is used in various grades in many
types of finished products; paints, drugs, carpets and tyres to name just a few.
Consider what tasks are involved in such an operation. We cannot list them all but consider
the following:
The quarry.
The chalk face or cliff face requires reducing into smaller, transportable boulders. Holes are
drilled at strategic points down into the chalk, about 10m away from the face. Explosives are
placed in the holes and detonated. The result is that large material-moving plant can be used
to load the boulders into tipper trucks that can carry up to 35 tons at a time. This is a largescale operation.
The trucks then transport the material through the quarry to the first crushing plant. The plant
at this stage is huge. Consider 35 tons of large boulders, some weighing up to 5 tons, being
tipped into an open shoot and crushed through enormous rollers, 2 metres in diameter. The
rollers turn in opposite directions to each other, crushing the material and pulling it into the
space between them. The material is reduced to lumps about the size of an adult's hand and
weighing approximately 1 kg. It is now transported on a large belt to a storage silo.
You should be thinking about the potential of harm and the hazards of such an operation.
Large vehicles turning, reversing, explosives, digging operations, crushing equipment, noise
and dust etc.
Start making a list of the hazards that come to mind as you read through.
The silo holds about 12,000 tons of chalk and is an inverted cone shape.
A plough situated at the bottom of the silo scoops the chalk on to another belt where a
worker stands and pick out the flint from the moving belt. The chalk continues on the belt

where it is sent for further crushing to a size of about 800 grams or less, then yet again by
belt to an air-swept mill that dries and grinds the chalk to a powder, ready for particle size
separation by means of cyclones.
The fine chalk powder is now graded by sending it through yet more cyclone machines and
separated into smaller holding hoppers, up to 5 tons, ready for pumping across to the final
100 ton finished product silos. Bagging, storage and loading the material ready for transport
operation is the final phase.
1.9.1 Tasks and Hazards
Let's have a look at the tasks and some of the hazards

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

Tasks

Types of Hazards

Drilling in quarry.

Machinery hazards.

Placing & use of explosives.

Explosives &manual handling.

Mechanical loading and transporting

materials.

Struck by moving vehicle.

Crushing materials.

Dust, noise, vibration.

Picking flint.

Repetitive strain injury/upper

limb disorder.

Moving materials by belt.

Nips, traps.

Drying materials.

Fire, heat escape of gas.

Moving materials by screw conveyer.

Nips, traps, crush noise.

Storage of fine powder.

Asphyxia, dust.

Bagging & handling material.

Nips, upper and lower limb

disorders.

Palletising & forklift trucks.

Struck by moving vehicles.

Storage & Warehousing.

Collapse of heavy loads.

13.

Road accidents, upper limb

disorders.

Road transport.

We have not listed them all; you need to complete this task. Continue with the list as above
and study the section 'Classification of Hazards'. This will help you later in this section.
1.9.2 Hazard Checklist
HAZARD CHECKLIST
This is an aide-memoire of hazards presented by work activities and equipment which
require risk assessment. This is an illustrative list and is not exhaustive.
MECHANICAL
Trapping
Crushing
Impact
Friction/Abrasion
Entanglement
Shearing
Puncture
Pinch or Nip Point
Stored Energy
Vibration
RADIATION
Alpha Beta Gamma
X-ray
Infra red
Ultra violet
Microwave
Radio
PLACE OF WORK
Access
Housekeeping
Slip, Trip, Fall
Confined Spaces
Work at Heights
Excavation
Demolition
Work Near or Over Water
Stacking
Storing
Obstruction
Ergonomics
Transport
ENVIRONMENTAL
Weather
Noise
Temperature
Lighting
Ventilation
Pressure
Vacuum

ELECTRICAL
Shock
Short Circuit
Sparking
Arcing
Fire
Explosion
Overheating
Portable Appliances

FLAMMABLE
Solids
Liquids
Gases
Sources of Ignition
Emergencies
HEALTH
Dust
Vapours
Gases
Fumes
Asphyxiants
Corrosives
Heavy Metals
Pesticides
Herbicides
Insecticides
Carcinogens
Sensitisers
ORGANISATION
Safe System of Work
Provision of Equipment
Provision of Information
Supervision
Training
Fieldwork
Lone Working

Humidity

Contact with Public

Violence

The noise and vibration at the plant is a significant hazard. Measurements indicate that noise
levels at best are 110 dB and at worst 180 dB. This is dealt with in the Noise section of your
study materials.
You need to imagine a shed of concrete walls, floors and metal roof of about 100 m x 100 m.
Four large air swept mills run 24 hours a day, 150 screw feeders move the powdered chalk
from mills to cyclone separators and compressors send the material to silos. The
environment is not well lit, it is dusty, hot and noisy.
The plant has grown from a manual operation to a less than state-of-the-art processing
plant. The walk ways are crossed with screw conveyers that have to be stepped over or
ducked under. Hard hats are a real necessity and ear defenders are worn without the need
for management to ensure they are worn. To give you some idea, you could stand within a
half a metre of a colleague and scream; they would not hear you.
One other point for you to consider is that most of the working shift, 12 hour days and nights
are spent in the instrument room, sitting watching dials and light indicators. However, when
things go wrong, say a screw conveyer stops because a belt snaps or jams because of lack
of maintenance, then 50 tons of chalk in the consistency of talcum powder would end up on
the floor. The only way to clean it up is with shovels and a wheel barrow. (Manual Handling
assessment)
We have set the scene for you. Your list of hazards should be growing and include all those
above and many others - stress, ergonomic etc.
1.10 Why we undertake risk assessments
Why we undertake risk assessments.
Firstly, there is the statutory requirement placed on all employers under the Management of
Health and Safety at Work Regulations 1999 (MHSAW) and within the Health and Safety at
Work etc Act 1974 (HASWA74). You will learn more within the law section of your studies
with regards to the statutory requirements. However, below we have included the MHSAW
requirements.
Risk assessments, as you will read, are a safety management technique that - if undertaken
correctly using a systematic approach - are designed to reduce and control losses in terms
of human, system, material and financial losses.
Think of the phrase "What if?" To put this into context, you need to imagine that you are
walking through your place of work and looking for hazards, at the same time asking yourself
'what if this or that happened, to whom would it present a risk, how many, to what degree
and how often'.
Consider the example of a Safety Manager at a large training centre. He is responsible for
undertaking risk assessments. Firstly, his company shares the building with 20 other small
companies; the rooms were leased and the landlord was in control of the premises.
The waste bin area is a common area; the landlord is responsible for its control and the

safety management.
If a fire started in the large bins, it would quickly spread up the side of the building. A
significant risk is therefore present and controls need to be considered. The Safety
Manager discusses the matter with the landlord, who assurese him that risk assessments
have been undertaken and that the controls put in place are suitable and sufficient.
Some months later, two youths set fire to the bins. They are caught on CCTV. The fire is
quickly brought under control and the only damage is to the bins and the building wall. The
cost in terms of replacing the bins and remedial work to the wall is approximately 3,500.
Further controls are put in place; the bins are locked in a compound away from the building.
This is reactive, but the landlord did react to this risk and did something.
Another incident with the bins was a good deal more serious and could have led to a death.
Two youths had decided that the bins were a good place to sleep after a night on the town.
The bins had lids, so were dry, had lots of paper waste, relatively warm and were in a safe
area, away from any passing traffic. Early the next morning, the refuse truck arrived. As the
bin men wheeled the bins to the truck, one youth leapt out and as he ran away shouted, "my
mate's in that other bin." This was true; the other youth was fast asleep and only seconds
away from the hydraulic lift that would have tipped the contents of the bin and him into the
waiting crushing and compacting area at the back of the truck.
So why do we undertake risk assessments? Well, they are a method of identifying hazards
and calculating the risks of workplace activities. They are part of accident prevention at work
and are required by law.
1.11 Some basic definitions
We will start with some basic definitions. This is important for you to remember and you must
include these in your NEBOSH examination.
Hazard

anything with the potential to cause harm.

Risk

the likelihood of harm been realised/happening.

Control Measure

anything (action or measure) put in place either to

eliminate the hazard or reduce the risk.

We make no apology for repeating the definitions throughout your studies. Learn them, as
you have the definition of an accident, safe method of working etc.
Question 5
A _____ is anything (action or measure) put in place either to eliminate the hazard or reduce
the risk.
Multiple Choice (HP)
Answer 1:
Response 1:

Hazard

Jump 1:

This page

Answer 2:

Control Measure

Response 2:
Jump 2:

Next page

Answer 3:

Risk

Response 3:
Jump 3:

This page

1.12 Statutory Requirements

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

Regulation 3. - (1) Every employer shall make a suitable and sufficient assessment of (a) the risks to the health and safety of his employees to which they are exposed whilst they
are at work; and
(b) the risks to the health and safety of persons not in his employment arising out of or in
connection with the conduct by him of his undertaking,
(See 'Fire Section' of your studies)
Student Note: Regulation 3 clearly states that all employers must undertake Risk
Assessments and that they must be suitable and sufficient.

(2) Every self-employed person shall make a suitable and sufficient assessment of:(a) the risks to his own health and safety to which he is exposed whilst he is at work; and
(b) the risks to the health and safety of persons not in his employment arising out of or in
connection with the conduct by him of his undertaking, for the purpose of identifying the
measures he needs to take to comply with the requirements and prohibitions imposed upon
him by or under the relevant statutory provisions.
Student Note: Regulation 3 clearly states that the self-employed must undertake Risk
Assessments and that they must be suitable and sufficient, however they employ

themselves; if fewer than five people are employed, they are not required to keep
records.

(3) Any assessment such as is referred to in paragraph (1) or (2) shall be reviewed by the
employer or self-employed person who made it if (a) there is reason to suspect that it is no longer valid; or
(b) there has been a significant change in the matters to which it relates; and where - as a
result of any such review - changes to an assessment are required, the employer or selfemployed person concerned shall make them.
(4) An employer shall not employ a young person unless he has, in relation to risks to the
health and safety of young persons, made or reviewed an assessment in accordance with
paragraphs (1) and (5).
Student Note: Special arrangements are required for young persons at work. Risk
assessments are required to be reviewed.

(5) In making or reviewing the assessment, an employer who employs or is to employ a

young person shall take particular account of (a) the inexperience, lack of awareness of risks and immaturity of young persons;
(b) the fitting-out and layout of the workplace and the workstation;
(c) the nature, degree and duration of exposure to physical, biological and chemical agents;
(d) the form, range, and use of work equipment and the way in which it is handled;
(e) the organisation of processes and activities;
(f) the extent of the health and safety training provided or to be provided to young persons;
and
(g) risks from agents, processes and work listed in the Annex to Council Directive 94/33/EC[
(6) Where the employer employs five or more employees, he shall record (a) the significant findings of the assessment; and
(b) any group of his employees identified by it as being especially at risk.
Student Note: The employer who employs five or more persons has to make a record
of his assessments.
8] on the protection of young people at work.
for the purpose of identifying the measures he needs to take to comply with the requirements
and prohibitions imposed upon him by or under the relevant statutory provisions and by the
Regulatory Reform (Fire Safety) Order 2005.
1.13 Principles of prevention to be applied
Principles of prevention to be applied.
Regulation 4. Where an employer implements any preventive and protective measures, he
shall do so on the basis of the principles specified in Schedule 1 to these Regulations.
Health and safety arrangements
Regulation 5. - (1) Every employer shall make and give effect to such arrangements as are
appropriate, having regard to the nature of his activities and the size of his undertaking, for

the effective planning, organisation, control, monitoring and review of the preventive and
protective measures.
(2) Where the employer employs five or more employees, he shall record the arrangements
referred to in paragraph (1).
Student Note: The employer is required to ensure that suitable safety management
arrangements are in place.
Health surveillance
Regulation 6. Every employer shall ensure that his employees are provided with such
health surveillance as is appropriate, having regard to the risks to their health and safety
which are identified by the assessment.
Student Note: Health surveillance may be required in some circumstances and for
particular working environments, or where the employee is exposed (or may be
exposed) to a harmful substance/agent(s), such as asbestos, lead or ionising
radiation.

Health and safety assistance

Regulation 7. - (1) Every employer shall, subject to paragraphs (6) and (7), appoint one or
more competent persons to assist him in undertaking the measures he needs to take to
comply with the requirements and prohibitions imposed upon him by or under the relevant
statutory provisions and by Part II of the Fire Precautions (Workplace) Regulations 1997.
(2) Where an employer appoints persons in accordance with paragraph (1), he shall make
arrangements for ensuring adequate co-operation between them.
(3) The employer shall ensure that the number of persons appointed under paragraph (1),
the time available for them to fulfil their functions and the means at their disposal are
adequate having regard to the size of his undertaking, the risks to which his employees are
exposed and the distribution of those risks throughout the undertaking.
Student Note: Competency in terms of risk assessment and safety management. In
order to undertake risk assessments, the employer must be - or employ - a competent
person, who has the relevant knowledge, experience, qualification etc in respect of
the work activities. The employer also has to ensure that sufficient time and
resources are available to undertake these duties.
1.13.1 Principles of prevention to be applied continued.
Risk assessment in respect of new or expectant mothers.

Regulation 16. (1) Where (a) the persons working in an undertaking include women of child-bearing age; and
(b) the work is of a kind which could involve risk, by reason of her condition, to the health
and safety of a new or expectant mother, or to that of her baby, from any processes or
working conditions, or physical, biological or chemical agents, including those specified in
Annexes I and II of Council Directive 92/85/EEC[ 11] on the introduction of measures to
encourage improvements in the safety and health at work of pregnant workers and workers
who have recently given birth or are breastfeeding, the assessment required by regulation
3(1) shall also include an assessment of such risk.

(2) Where, in the case of an individual employee, the taking of any other action the employer
is required to take under the relevant statutory provisions would not avoid the risk referred to
in paragraph (1) the employer shall, if it is reasonable to do so, and would avoid such risks,
alter her working conditions or hours of work.
(3) If it is not reasonable to alter the working conditions or hours of work, or if it would not
avoid such risk, the employer shall, subject to section 67 of the 1996 Act suspend the
employee from work for so long as is necessary to avoid such risk.
(4) In paragraphs (1) to (3) references to risk, in relation to risk from any infectious or
contagious disease, are references to a level of risk at work which is in addition to the level
to which a new or expectant mother may be expected to be exposed to outside the
workplace.
Certificate from registered medical practitioner in respect of new or expectant
mothers
Regulation 17. Where (a) a new or expectant mother works at night; and
(b) a certificate from a registered medical practitioner or a registered midwife shows that it is
necessary for her health or safety that she should not be at work for any period of such work
identified in the certificate, the employer shall, subject to section 67 of the 1996 Act, suspend
her from work for so long as is necessary for her health or safety.
Notification by new or expectant mothers
Regulation 18. - (1) Nothing in paragraph (2) or (3) of regulation 16 shall require the
employer to take any action in relation to an employee until she has notified the employer in
writing that she is pregnant, has given birth within the previous six months, or is
breastfeeding.
(2) Nothing in paragraph (2) or (3) of regulation 16 or in regulation 17 shall require the
employer to maintain action taken in relation to an employee (a) in a case (i) to which regulation 16(2) or (3) relates; and
(ii) where the employee has notified her employer that she is pregnant, where she has failed,
within a reasonable time of being requested to do so in writing by her employer, to produce
for the employer's inspection a certificate from a registered medical practitioner or a
registered midwife showing that she is pregnant;
(b) once the employer knows that she is no longer a new or expectant mother; or
(c) if the employer cannot establish whether she remains a new or expectant mother.
Student Note: Special arrangements are required for new and or expectant mothers.
Protection of young persons.
Regulation 19. - (1) Every employer shall ensure that young persons employed by him are
protected at work from any risks to their health or safety which are a consequence of their
lack of experience, or absence of awareness of existing or potential risks or the fact that
young persons have not yet fully matured.
(2) Subject to paragraph (3), no employer shall employ a young person for work (a) which is beyond his physical or psychological capacity;
(b) involving harmful exposure to agents which are toxic or carcinogenic, cause heritable
genetic damage or harm to the unborn child or which in any other way chronically affect
human health;
(c) involving harmful exposure to radiation;

(d) involving the risk of accidents which it may reasonably be assumed cannot be recognised
or avoided by young persons owing to their insufficient attention to safety or lack of
experience or training; or
(e) in which there is a risk to health from (i) extreme cold or heat;
(ii) noise; or
(iii) vibration,
and in determining whether work will involve harm or risks for the purposes of this
paragraph, regard shall be had to the results of the assessment.
(3) Nothing in paragraph (2) shall prevent the employment of a young person who is no
longer a child for work (a) where it is necessary for his training;
(b) where the young person will be supervised by a competent person; and
(c) where any risk will be reduced to the lowest level that is reasonably practicable.
(4) The provisions contained in this regulation are without prejudice to (a) the provisions contained elsewhere in these Regulations; and
(b) any prohibition or restriction, arising otherwise than by this regulation, on the employment
of any person.
Student Note: Special arrangements have to be in place for young persons and there
are some restrictions that have to be adhered to.
Having read through the regulations with the MHSW, we will now provide some
interpretation of them, using examples where pertinent.
Can you recall from memory the basics of:
Regulations 3, 4, 6, 7 16 and 17.
In terms of Occupational Health & Safety, can you provide a suitable interpretation of
`Competent Person` ?
1.14 Risk Assessment in Practice
Regulation 3, MHSWR 1999.
Whatever the work environment, the risk assessment must be suitable and sufficient - this
means that in a complex environment such as a chemical plant, a full safety audit might be
required; in a paint spray shop, the legal risk assessment requirements would be met by a
series of inspections of equipment, checks on fire precautions, a COSHH assessment of the
solvents and other chemicals, and so on.
It is important that the results of the risk assessment are prioritised:

High priority - immediate action required

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

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

Objectives of risk assessment:

Avoiding negative outcomes of incidents in terms of human harm, legal and economic
effects on the organisation.
1.15 Health Hazards & Risk Assessment
Health Hazards & Risk Assessment.
In order to control occupational health risks, we have to understand the factors which
determine the risks to health from hazardous substances and agents in the workplace. At
this point, you may need to visit the section on Chemical & Biological Health Hazards;
however, we have included this section, Health Hazards, to support your learning of Risk
Assessments.
Again, we have provided you with definitions. It is important that you can recall these
definitions for examination purposes.

A health hazard is something with the potential to cause occupational ill-health or

disease;
Risk is a measure of the likelihood that the harm from a hazardous substance or
agent will occur.

As you will read later, the risk assessment process begins with the identification of hazards.
We will now describe this process of risk assessment for health hazards and their ill-health
effects. We will be considering the range of chemical, physical, biological and ergonomic
agents already referred to in more detail in other study units. However, since risk is a
measure of the likelihood of harm, in the case of health risks the outcome will depend a
great deal on the actual characteristics of the persons exposed.
Consider human factors such as strength, general health and susceptibility. These vary from
one person to another and these - sometimes wide - variations affect the likelihood (risk) and
severity of harm which can arise from a health hazard.
Personal Factors
There are a number of individual characteristics which can influence the risk assessment.
They include:

Pre-existing health conditions, where people susceptible to allergic reactions or who

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

Severity of Harm
This is a function of the level or concentration of the agent to which the person is exposed,
and the duration of exposure. For each hazardous substance or agent, there will be an

occupational exposure standard set at a value designed to minimise the probability of

harm. The pattern and total time of exposure has to be determined by considering routine or
frequent exposures and also non-routine exposures arising from maintenance or spillage
operations.
The significance of the level and duration of exposure will depend on the actual hazard. For
example, exposure standards for airborne chemical contaminants are based on average
airborne concentrations over 15 minutes or 8 hours. Radiation dose limits are based on
levels and durations which depend both on the part of the body exposed (i.e. skin, eye, etc.)
and the individual (young person or pregnant worker). See also Chemical & Biological.
Health Hazards.
Occupational Health Risks.
The overall occupational health risk depends on the factors outlined above as well as the
properties of the agent. By considering the identified health hazard, possible ill-health
effects, susceptibility of the individual(s) exposed level, duration of possible exposure and
the probability of exposure, an assessment of the likelihood of resulting harm can be
estimated.
This of course follows the steps of risk assessment as described later. However,
occupational health risk assessments may be more compound as the task is made more
difficult because of the complexities of hazards and the differing ways that individuals react
to different exposures.
1.16 When should assessments be undertaken?
Risk assessments should be undertaken in any of the following circumstances:

They have not taken place before.

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

1.16.1 The importance of risk assessments

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