Health, Safety and Risk
Management in Construction
By Dave Allen & Paul Whitehead – licensed under the Creative Commons
Attribution – Non-Commercial – Share Alike License
http://creativecommons.org/licenses/by-nc-sa/2.5/
Introduction to Health, Safety
and Risk Management
in Construction
Dave Allen & Paul Whitehead
Leeds Metropolitan University
2
Contents
Section 1: Introduction and learning outcomes
3
Section 2: Health & Safety in the UK
4
Section 3: Structure of UK law with regards to Health & Safety
8
Section 4: Risk assessment
15
Section 5: Self assessment answers
21
Section 6: Bibliography, references and suggested further reading
23
3
Section 1: Introduction and learning outcomes
The construction industry in the UK undertakes a wide range of activities from small scale
domestic work to larger scale civil engineering projects. Given the transient nature of these
activities, hazards and associated risks need to be careful managed to ensure the safety of
employees and others who may be affected by the construction work. This module provides
an introduction to the legal aspects of health and safety in the UK. Although only the legal
aspects are considered, other aspects such as the moral and financial aspects are worthy of
note. Morally, all employees should be able to return home after work in the same state of
health as when they left in the morning. There are also significant financial implications to
both the wider economy, the company concerned, and the individual when accidents occur
in the workplace.
Aim
To develop knowledge and understanding of health, safety and risk management in relation
to construction related activities.
Outcomes and Competencies
On completion of the module the student should be able to:
 show developing understanding of the structure of UK law in relation to health and
safety
 demonstrate awareness of health and safety requirements in the delivery of
construction projects
 outline a number of professional responsibilities in relation to health and safety
 understand the difference between hazard and risk
 undertake simple risk assessments for a number of construction activities
 Prepare a straightforward method statement for construction tasks
Content
 Health and safety in the UK
 The structure of health and safety law in the UK
 Risk assessment
 Scenario and case studies for construction related activities
Learning strategies
The module will be delivered by PowerPoint presentations with accompanying notes. These will
be supported with reading materials together with guidance on directed reading. Scenarios are
used to consolidate learning and evidence based case studies will contextualise the learning
into a real situation.
Assessment
The module will be self assessed by:
•
•
•
•
Five short multiple choice questions at the end of each section.
Scenario based activity using the Carling advert.
Detailed evidence based case study of a civil engineering activity.
A summative two question response to the learning within the module.
4
Section 2: Health & Safety in the UK
The HSE were created as a result of the introduction of the Health and Safety at Work etc
Act in 1974. Their primary role is to ensure that risks to health and safety of people at work
are properly controlled. In order to do this, they undertake a number of activities such as
producing statistics, developing health and safety campaigns, undertaking inspections,
investigating accidents and offering advice on compliance to employers. Thus, they
undertake a range of proactive and reactive activities to ensure continuous improvement.
120
7
100
6
5
Number
80
4
60
3
40
2
Number of fatalities
13/14
12/13
11/12
10/11
09/10
08/09
07/08
06/07
05/06
04/05
03/04
02/03
0
01/02
0
00/01
1
99/00
20
Incident rate per 100,000
To consider the health and safety performance of the construction industry it is important to
understand some basic concepts. Health relates to the protection of the bodies and minds
from work related illness such as vibration white finger and stress. This differs from safety in
that it is concerned with the protection from physical injury from accidents. Figure 1 shows
the number of fatal injuries in construction over the last few years. These figures are
released annually by the Health and Safety Executive (HSE) and are available from their
website http://www.hse.gov.uk/statistics/industry/construction/injuries.htm by selecting the
construction industry. The fatality rate is calculated based on 100,000 workers. This enables
comparisons to be made with other industries as the baseline is the same and is common to
all of the accident and ill health statistics produced by the HSE. Space has also been
provided to update Figure 1 with further statistics as they become available.
Fatalities per 100,000 workers
Year
Figure 1 Construction fatality statistics
In addition to fatalities, major injuries and over three day lost time accidents are recorded.
The most common kinds of reported injuries to workers in construction are due to:





contact with moving machinery
manual handling
falls from a height
slips and trips
struck by moving/falling objects
5
Construction also has a higher rate of over 3 day injuries when compared to the other
industries. The reporting of near misses (any incident that could have resulted in an
accident) should also be encouraged as, if these can be reduced, accidents with more
severe consequences can be avoided (Figure 2).
1 major or over 3 day lost time injury
for every 7 minor injuries
for every 189 near misses
Figure 2 The accident triangle
The HSE also consider proactive measures to be important. Over recent years they have
developed a number of targeted campaigns to improve health and safety in the workplace.
These can be accessed directly or through the HSE website and some examples with direct
links are included in Table 1.
Table 1 Examples of HSE campaigns
Campaign
Website
Falls from Vehicles
www.hse.gov.uk/fallsfromvehicles/index.htm
Height Aware
www.hse.gov.uk/falls/campaign/materials.htm
Watch Your Step
www.hse.gov.uk/construction/campaigns/watchyourstep/index.htm
Working Well Together
www.wwt.uk.com
Shattered Lives
www.hse.gov.uk/falls/wait/index.htm
The HSE also have legal powers under Sections 20 and 25 of the Health and Safety at Work
etc Act 1974 to ensure that minimum standards are met. Inspectors have the right to enter
and inspect premises at any reasonable time and can take a number of actions depending
on their findings. These include taking no action, giving verbal or written advice, issuing a
formal caution, serving a notice or initiating prosecution. Where a breach of the law is
identified there are two types of notice that can be served:
Improvement notice – identifies a breach and specifies the date by which the
situation is to be remedied
Prohibition notice – Used to stop an activity which the inspector feels could lead to a
serious injury. The notice can take effect immediately or within a specified time limit.
In construction the issue of any notice can have severe financial implications for the project.
Any delays caused may mean that resources such as people and equipment are standing
idle. The delays to the construction programme may also mean that the completion date
cannot be met and this may result in liquidated or delayed damages. Both of these extra
costs are typically borne by the contractor and will erode their profit margin. There will also
be the damage to reputation which may affect the contractor’s ability to gain future work as
6
health and safety is often a consideration when assessing their competence to undertake
work on a project.
7
Self Assessment Questions
2.1. After visiting your site, a Health and Safety Executive inspector issues an Improvement
Notice. What does this mean?
A.
B.
C.
D.
You are not working fast enough
You need to improve the standard of your work
You are not working in a safe manner
All of the above answers
2.2. Why is it important to record near miss incidents?
A.
B.
C.
D.
To avoid prosecution as this is a legal requirement
To identify trends and avoid accidents
So that they can be reviewed by inspectors when they visit
None of the answers above
2.3. Why are statistics produced by the HSE based on a rate per 100,000 workers?
A.
B.
C.
D.
This makes the numbers easier to deal with as they are smaller
Because in the UK 100,000 people work in the construction industry
To provide a common base for comparison with other industries
None of the answers above
2.4. The letters HSE stand for?
A.
B.
C.
D.
Health Standards Establishment
High Safety Establishment
Health and Safety Executive
Health and Security Executive
2.5. Which of the following is not a common cause of injury in construction?
A.
B.
C.
D.
Noise
Slips and trips
Falls from height
Contact with moving machinery
8
Section 3: Structure of UK Law with regards to health and safety
There are two divisions of law that apply to health and safety, civil law and criminal law. In
addition, law is derived from two sources namely common law and statute law. Both
divisions may use either of the sources of law. For example; the Occupiers Liability Acts
1957 and 1984 impose a duty of care for non-visitors (including trespassers) on those in
control of premises. If an accident occurred on the premises and the occupier was found to
have breached these statutes then the criminal offence would be dealt with under civil law as
negligence. Where offences are both common and statutory offences, the statute will take
precedence. For example, murder is an offence which is tried under statute.
Common law (Individual v Individual or Organisation)
Common law dates from the 11th century when Royal Courts were created by William the
Conqueror to apply a uniform or common system of law across England. The common law
system gives great precedential weight to previous judgements, on the principle that it is
unfair to treat similar facts differently on different occasions. Hence previous decisions are
binding. The burden of proof is ‘on the balance of probability’ which is lower than that of
criminal law discussed later in the module.
Common law provides the foundation for most of the civil claims made on health and safety
issues which primarily involve the tort of negligence. A tort is a civil wrong that involves a
breach of a duty owed to someone else. It is differentiated from a crime, which involves a
breach of a duty owed to society in general.
There have been several important judgments that have defined the legal meaning of
negligence.
Blyth v Birmingham Waterworks Company (1856) 11 Ex Ch 781. The
defendants were a Waterworks company responsible for supplying
Birmingham with water. They had installed a fireplug into the hydrant near Mr
Blyth's house which failed due to extreme frost causing damage to Mr Blyth's
house. In establishing the basis of the case Alderson stated:
‘Negligence is the omission to do something which a reasonable man, guided
upon those considerations which ordinarily regulate the conduct of human
affairs, would do, or doing something which a prudent and reasonable man
would not do. The defendants might have been liable for negligence, if,
unintentionally, they omitted to do that which a reasonable person would have
done, or did that which a person taking reasonable precautions would not
have done.’
Donoghue v Stevenson (1932) UKHL 100. The plaintiff,
Ms. Donoghue, drank ginger beer given to her by a friend,
who bought it from a shop. While drinking the drink, Ms.
Donoghue discovered the remains of a decomposed snail.
Donogue sued Stevenson the supplier for her resulting
illness even though there was no contractual relationship as
her friend had made the purchase. Lord Atkin making
biblical reference judged that:
‘You must take reasonable care to avoid acts or omissions which you can
reasonably foresee would injure your neighbour. Who then, in law, is my
neighbour? The answer seems to be persons who are so closely and directly
affected by my act that I ought reasonably to have them in contemplation as
9
being affected when I am directing my mind to the acts or omissions which are
called in question’
Caparo v Dickman (1990) 2 AC 605. Caparo Industries plc a stakeholder in
the Fidelity plc undertook a takeover based on the accounts produced by the
defendant Dickman. It was subsequently found that the accounts were
misleading and the company was in a worse position than had been indicated
in the annual reports. Sir Bingham stated that a duty of care was owed to the
plaintiff due to the fact that the reports were produced for the shareholders.
However, this was overturned by the House of Lords, which unanimously held
there was no duty of care and introduced a 'threefold test'. Three criteria that
need to be established for negligence are:
1. A duty of care was owed
2. There was a breach of that duty
3. The breach resulted in a loss
If an employer is unable to defend the three criteria two other partial defences available:
Volenti non fit injura - meaning the risk was willingly accepted, although for
employees this cannot really be argued as the risk is accepted in order to be retained
by the employer.
or
Contributory negligence where the individual has in some way contributed to the loss.
This can result in the reduction in the amount of compensation paid to the individual
by as much as 80% (Ferret and Hughes, 2008). Due to the supervisory duties of an
employer, they still retain some responsibility for any incident.
Claims of negligence need to be made within a set time period, normally three years, as they
are subject to the Statute of Limitations. This sets the maximum time after an event that legal
proceedings based on that event may be initiated.
Statute Law (State v Individual or Organisation)
Statute law is the body of rules that defines conduct that is prohibited by the state because it
is held to threaten, harm or otherwise endanger the safety and welfare of the public. Statute
law is enforced by the state and due to the potential punishment such as a fine or
imprisonment, the level of proof is required is very high and is known as ‘beyond reasonable
doubt’. Statute law can be broken down into primary, secondary and other documentation:
Primary legislation.
Primary legislation is formed from Acts. An Act is a Bill approved the House of
Commons, the House of Lords, and agreed by the reigning monarch (Royal Assent).
Examples in construction include the Health and Safety at Work etc Act 1974
(HSWA) and the Highways Act 1980.
Secondary legislation.
These include regulations, orders and bylaws. They are approved by Parliament to
outline the minimum standards or goals to be achieved. Although they set the
standards, they do not specify how they are to be achieved, leaving this to the
discretion of the employer. Examples include:
10
Management of Health and Safety at Work Regulations 1999
Construction (Design and Management) Regulations 2007
Provision and Use of Work Equipment Regulations 1998
Control of Substances Hazardous to Health Regulations 2002
Manual Handling Operation Regulations 2002
The Control of Asbestos at Work Regulations 2005
Fire Precautions Regulatory Reform (Fire Safety) Order 2005
In order to assist with the interpretation of the law for health and safety documents
have been developed such as Guidance and Approved Codes of Practices (ACOP)
and these are discussed below.
Other documents….
Approved Codes of Practice ACOPs offer practical examples of good practice.
They give advice on how to comply with the law by, for example, providing a guide to
what is ‘reasonably practicable’. If regulations use words like ‘suitable and sufficient’,
an ACOP can illustrate what this requires in particular circumstances. They have a
special legal status and are often coded with an ‘L’ for example L144 Managing
Health and Safety in Construction. Construction (Design and Management)
Regulations (2007) Approved code of practice.
If employers are prosecuted for a breach of health and safety law, and it is proved
that they have not followed the relevant provisions of the Approved Code of Practice,
a court can find them at fault unless they can show that they have complied with the
law in some other way.
Guidance The HSE publishes guidance on a range of subjects to provide technical
advice and help people to interpret the law so that they can ensure that they comply.
Guidance is not compulsory and employers are free to take other action. However, if
they do follow guidance they will normally be doing enough to comply with the law.
Examples include Health and Safety Guidance (HSG):
HSG 32 Safety in falsework for in-situ beams and slabs
HSG 33 Health and safety in roof work
HSG 47 Avoiding danger from underground services
HSG 141 Electrical Safety on construction sites
HSG 144 Safe use of vehicles on construction sites
HSG 150 Health and safety in construction
HSG 168 Fire safety in construction work
Others may also be used such as British and European standards (BS EN) and the
HSE Miscellaneous guidance General Series (GS) such as:
BS 6187 Code of practice – demolition
BS 6031 Code of practice for earthworks
GS29 Health and Safety in demolition
11
The Health and Safety at Work etc. Act 1974
The Health and Safety at Work Act 1974 was developed from the findings of the Robens
Report published in 1972. Its intention was to rationalise the complex and confused system
of legislation available at the time into a single act that covered all workers. The 1974 Act
lays down general principles for the management of health and safety at work. The Act
defines general duties on employers, employees, contractors, suppliers, persons in control
of work premises, and those who manage and maintain them, and persons in general. The
Act being an ‘enabling act’ allows the creation of Statutory Instruments by the Secretary of
State who simply presents them to Parliament. This has been used extensively and a range
of specific provisions for various industries, disciplines and risks have been generated. The
Act also established a system of public supervision through the creation of the Health and
Safety Executive and gave extensive enforcement powers to them.
Sections 2 to 6 set out general duties upon employers, the self-employed, manufacturers
and suppliers to safeguard the health and safety of workers and other people who may be
affected by their work activities. As an example
Section 2(1) sets out the general duty an employer has to an employee
It shall be the duty of every employer to ensure, so far as is reasonably practicable,
the health, safety and welfare at work of all his employees.
Section 3(1) is a similar duty in respect of non-employees
It shall be the duty of every employer to conduct his undertaking in such a way as to
ensure, so far as is reasonably practicable, that persons not in his employment who
may be affected thereby are not exposed to risks to their health or safety.
Section 7 outlines duties of employees whilst at work stating:
It shall be the duty of every employee while at work –
(a) to take reasonable care for the health and safety of himself and of other persons who
may be affected by his acts or omissions at work; and
(b) as regards any duty or requirement imposed on his employer or any other persons by
or under any of the relevant statutory provisions, to co-operate with him so far as is
necessary to enable that duty or requirement to be performed or complied with.
As stated above, the Act sets out the general duties which employers have towards
employees and members of the public, and employees have to themselves and to each
other. These duties are qualified in the Act by the principle of ‘so far as is reasonably
practicable’. In other words, an employer does not have to take measures to avoid or reduce
the risk if they are technically impossible or if the time, trouble or cost of the measures would
be grossly disproportionate to the risk. Other levels of statutory duty in relation to health and
safety include Absolute meaning that something must or shall be done and Practicable
meaning that it must be done if it is technically or feasibly possible. Section 40 of the HSWA
also places the onus on proving the limits of what is practical etc on the defendant and
hence prosecutions for health and safety breaches follow a “reverse burden of proof”. It is
therefore the defendant’s responsibility to demonstrate innocence, not the prosecution’s
responsibility to prove guilt.
More recently much of Britain’s health and safety law has originated in Europe. Proposals
from the European Commission may be agreed by Member States, who are then
responsible for making them part of their domestic law. Modern health and safety law in this
country, including much of that from Europe, is based on the principle of risk assessment.
12
Construction (Design and Management) Regulations 2007 (CDM)
These regulations are a management protocol for all construction and related activities.
When they were introduced in 2007, the regulations combined and replaced CDM 1994 and
the Construction (Health Safety & Welfare) Regulations 1996. They have an ACOP L144
Managing Health and Safety in Construction (CDM, 2007) which is free to download as a
PDF document and you are strongly advised to access this document whilst studying this
module. The aims of CDM are to:
a) integrate health & safety into the management of a project and encourage working
together to improve planning and management from the very start,
b) identify hazards and eliminate or reduce at design/planning stage
c) target efforts where it can do the most good for H & S
d) discourage unnecessary bureaucracy
The regulations are split into in five parts:
Part 1
Part 2
Part 3
Part 4
Part 5
Interpretation and application
General management duties applicable to all construction projects
including those which are non notifiable
Additional management duties applying to notifiable projects
Covers physical safe guards which need to be provided to prevent danger
and applies to all construction work
Covers transitional arrangements, amendments and revocations of other
legislation
In order to ascertain which parts apply it is important to determine whether the HSE require
notification of the project. If the project will last more than 30 days or if the construction
phase will require more than 500 people days then the project is notifiable using a form F10
and all parts of the CDM document apply. The regulations identify five key parties namely;
Client, Designer, CDM Coordinator, Principal Contractor and Contractors and clear division
of their roles and responsibilities helps to ensure accountability and motivation. To assist
with interpretation of the regulations the ACOP has summarised the roles and
responsibilities of the parties and an example is shown in Table 2. In this example, the left
hand column will apply to all design activities for construction projects. If a project is
notifiable then in addition to these duties, the right hand column will also apply.
Table 2 Summary of Designers duties (CDM, 2007)
All construction projects
(part 2 of the regulations)
Designers


Eliminate hazards and reduce
risks during design
Provide information about
remaining risks
Additional duties for notifiable projects
(Part 3 of the regulations)


Check client is aware of duties and
CDM Co-ordinator has been
appointed
Provide any information needed for
the health and safety file
The ACOP also identifies three key documents to be produced to manage health, safety and
welfare during the project. These are the Pre-construction information, Construction phase
plan, and the Health and safety file. The aim of the Pre-construction information is to provide
information to those bidding for or planning the construction work and to assist with the
production of the Construction phase plan. The Construction phase plan sets out how health
and safety will be managed during the construction phase. It is important in both of these
13
documents that the level of detail is proportionate to the risks involved in the project. The
final document is the Health and safety file. It is intended that this will ultimately remain with
the Client so that future maintenance, structural alterations or demolition can be undertaken
safely.
Part 4 of the Regulations cover physical safeguards which need to be considered by those
involved to prevent danger. There are a number of issues that are specifically covered such
as demolition and dismantling, prevention of drowning, and traffic routes. As with the
majority of health and safety regulations in the UK, CDM specifies the minimum standards to
be met but not how they are to be achieved.
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995
(RIDDOR)
These regulations place a legal duty on the responsible person (usually the employer) to
notify and report work related accidents, diseases and dangerous occurrences to the HSE or
Local Authority. The regulations require that the following incidents are reported.






Deaths.
Major Injuries - including; fractures other than fingers thumbs or toes, dislocation,
loss of sight even temporary, injuries resulting from electric shock or electrical burn
leading to unconsciousness or requiring resuscitation.
Over three day injuries - unable to work for more than three consecutive days.
Injuries to members of the public or people not at work where they are taken from the
scene of an accident to hospital.
Some work related diseases - for example leptospirois and vibration white finger
Dangerous occurrences - something that happens that does not result in injury but
could have such as un-intentional collapse of a building or structure.
14
Self assessment questions
3.1. Which part of the Health and Safety at Work Act 1974 are duties on employees stated?
A.
B.
C.
D.
Section 1
Section 3
Section 5
Section 7
3.2. There are three criteria which need to be established under the Common Law Tort of
Negligence to successfully sue, which of the following is not a criteria?
A.
B.
C.
D.
There was a breach of that duty
A duty of care was owed
Loss was suffered due to the breach
The risk was willingly taken
3.3. An Approved Code of Practice is:
A. A document produced by trade unions or professional organisations which provide a
list of professional responsibilities
B. A document produced by trade unions or professional organisations which provide a
series of statements that prescribe the minimum standards of practice
C. A document approved by the HSE providing advice regarding compliance with the
law with semi legal status
D. A document approved by the HSE providing advice regarding compliance with the
law having no legal status
3.4. Under RIDDOR which of the following injuries would not require reporting?
A.
B.
C.
D.
Dislocated wrist
Fractured finger
Temporary loss of sight
Death
3.5. Which of the following is not a duty holder for a notifiable project under Construction
(Design and Management) Regulations?
A.
B.
C.
D.
CDM Coordinator
Designer
Contractor
Client
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Section 4: Risk Assessment
Risk assessment is part of the planning and information stage of a health and safety
management system (See HSG 65). A risk assessment is simply a careful examination of
what, in the workplace, could cause harm, so that hazards can be eliminated and risks
reduced. Risk Assessment is also a legal requirement for existing legislation, for example
The Management of Health and Safety at Work Regulations 1999 (MHSWR). These
regulations are more explicit about what employers are required to do to manage health and
safety. Like the HSWA, they apply to every work activity. However, where employers have
five or more employees, the significant findings of the risk assessment need to be recorded.
The main requirement on employers is to carry out a ‘Suitable and Sufficient’ risk
assessment as stated in Regulation 3. This needs to include risks to their employees whilst
at work and other persons who may be affected by their activities. Particular reference is
also made to the risks to new and expectant mothers and young people.
Hazard and Risk
‘A hazard is the potential of a substance, activity or process to cause harm’
Hazards may take many forms including:








Mechanical - moving parts on machinery
Chemical – hazardous substances COSHH
Physical – slips, trips and falls, moving objects
Biological – e.g. Leptospirosis
Ergonomic – e.g. poor seating and workstation design
Manual Handling hazards – lifting etc
Electrical – 1000 incidents every year 30 fatalities
Stress – to much or to little to do, poor relationships etc
‘Risk is the likelihood of a substance, activity or process to cause harm’
The level of risk is also linked to the severity of consequences and can therefore be
expressed using the equation
Risk = severity of harm x probability
For example, electricity is a hazard, whereas an associated risk is electrocution.
Alternatively, working over water is a hazard, whereas an associated risk is drowning.
There are two forms of risk assessment, qualitative and quantitative. Qualitative risk
assessments are the most common form and these are based on personal judgement with
risks being defined as low, medium or high. Quantitative risk assessment is a more technical
approach which assigns a numerical number to the risk to indicate its significance.
Given that qualitative risk assessments are based on personal judgements, the competence
of the individual undertaking the risk assessment is of paramount importance. It is also
essential to realise that individual perceptions of a risk can be very different. This perception
is affected by a number of factors including their psychological processes, social group and
the timing of the consequences – imminent or delayed. To overcome this, ideally risk
assessment should be carried out by a team of people. This team may include someone with
appropriate health and safety training to lead the team, the line manager with responsibility
for the activity or task, and others with appropriate technical knowledge, experience or
communication skills.
16
The risk assessment process
The HSE approach to risk assessment is broken down into five key steps and this approach
will be considered in this module. Further details of are available in HSE INDG163 (rev2), 5
steps to risk assessment, revised 06/06. The five steps are:
Step 1 - Identify the hazards
Step 2 - Decide who might be harmed and how
Step 3 - Evaluate the risks and decide on precautions
Step 4 - Record your findings and implement them
Step 5 - Review your assessment and update if necessary
Step 1 - Identify the hazards
Hazard identification is the first step in the process, it is important that only significant
hazards are identified which could result in serious harm to people. Trivial hazards should be
ignored. Hazards can be identified by walking around the workplace to identify what could
reasonably cause harm. It is important to consider both safety hazards, such as slips trips
and falls, as well as those that may affect long-term health, such as exposure to noise or
harmful substances. Employees involved in the task or working in the area are also a good
source of information and should be consulted. Other information could be gained from
manufacturers’ instructions or data sheets, the accident book and ill health records. Reports
of near misses may also be useful.
Step 2 - Decide who might be harmed and how
For each hazard, the people that may be harmed and the type of injury or ill health that could
occur need to be determined. Employees and Contractors working on the task are easily
identified. However, other people in the workplace must also be considered such as
employees working in the vicinity, cleaners, visitors and maintenance workers. Some people
also have additional requirements under the MHSWR 99 namely, young people, new or
expectant mothers and the disabled.
Step 3 - Evaluate the risks and decide on precautions
The aim of the risk assessment process is to reduce all risks to as low as is reasonably
practicable. To assist with this process a ranking system is required so that the significance
of each risk can be established. It is important to realise that when undertaking a risk
assessment that some control measures may already be in place and these should be
considered in any assessment. A further important point is that residual risk will remain even
after all precautions are in place. Using the information from Steps 1 and 2, for each
significant hazard, the risk should be classified. Often a risk matrix is used and risk
descriptors are used. For each risk use the risk matrix chart (example shown is a 3x3 chart)
to evaluate and descriptors to assist.
RISK DESCRIPTORS/ACTIONS
Probability
 For low risk activities no
specific action is required
 For medium risk activities
apply measures to reduce risk
to acceptable levels
 Consider alternative measures
for high risk activities
RISK MATRIX CHART
Almost certain
Likely
M
L
H
M
H
H
Improbable
L
L
M
Negligable Moderate Very high
Severity
KEY
Low
Medium
High
17
When considering which control measures to put in place for a risk, the ‘Principles of
Prevention’ should be followed. These identify a hierarchy of risk control principles as
detailed in Table 3.
a.
b.
c.
d.
e.
f.
g.
h.
i.
Table 3 Principles of Prevention Schedule 1 MHSWR 99
Control principles
Example
Avoiding risks;
Do something different,
Road closure and diversion
rather than working under
traffic control.
Evaluating the risks that cannot be avoided;
Ranking risk to determine
importance and awareness.
Combating the risks at source;
Altering design to reduce
maintenance risk e.g.
Bridge bearing inspection
platform
Adapting the work to the individual, especially as
Recommendation to take a
regards the design of workplaces, the choice of work
10 minute break when
equipment and the choice of working and production
using AutoCAD.
methods, with a view, in particular, to alleviating
monotonous work and work at a predetermined workrate and to reducing their effect on health;
Adapting to technical progress;
The fitting of reversing
cameras on delivery
vehicles so that vision is
maintained.
Replacing the dangerous with non-dangerous or less
Use of lightweight kerbing
dangerous;
(20kg) rather than
traditional precast concrete
kerbs (70kg)
Developing a coherent overall prevention policy which Company based health and
covers technology, organisation of work, working
safety management
conditions, social relationships and the influence of
system.
factors relating to the working environment;
Giving collective protective measures priority over
Safety netting rather than
individual protective measures;
use of safety harness.
Giving appropriate instruction to employees;
General health and safety
training, site induction,
toolbox talks, method
statements, permits to
work.
Step 4 - Record your findings and implement them
It is a formal requirement to undertake a risk assessment for all work activities and it is
therefore important to keep a written record of the assessment. This written record becomes
a legal requirement if a company has five or more employees. Remember, if an accident or
incident did occur, that this may be used to prove that a ‘suitable and sufficient’ assessment
was made. Please also note that failure to be able to prove that an assessment was
undertaken may be a ‘tort breach of statutory duty’ i.e. a civil wrong for not complying with a
statutory requirement. To prove that the findings of the assessment were communicated, it is
also advisable to ensure that a signature is obtained from the people identified as being
affected.
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Step 5 - Review your risk assessment and update if necessary
The risk assessment should not be a ‘back of the filing cabinet’ document which is ‘dusted
off’ when a health and safety audit is planned. Although periodic review is required it is also
important to continually monitor the workplace or activity to check the conditions remain
unchanged and that available controls are adequate and being used. In addition to periodic
checks, reviews should be undertaken if monitoring reveals any issues, when methods or
materials change or to bring precautions up to date.
Method Statements
Risk assessments and method statements are intimately linked. The aim of a method
statement is to detail how the work is to be undertaken, the resources required and safety
arrangements. They are usually written by those doing the work and submitted to the
Principal Contractor prior to the work commencing. For a particular section of work they
detail:
 the order and method of construction
 its boundaries
 resources / PPE required
 temporary works design
 quality requirements
 method of control that is used after a risk assessment is carried out for high risk
construction activities.
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Self assessment questions
4.1. The Management of Health and Safety at Work Regulations 1999 require risk
assessments to be made:
A.
B.
C.
D.
For all work activities
When there is a danger of someone getting hurt
When more than five people are employed
Where an accident has previously happened
4.2. The Management of Health and Safety at Work Regulations 1999 require every
employer to ensure that young persons are protected at work. Which of the following is not a
stated reason for extra care?
A.
B.
C.
D.
Absence of awareness
Lack of experience
Lack of maturity
Lack of theoretical engineering knowledge
4.3. A hazard is:
A.
B.
C.
D.
Something with the potential to cause harm
The likelihood of harm from an article or substance
The potential impact of an article or substance
None of the above
4.4. Which of the following is not a risk?
A.
B.
C.
D.
Contact with moving machinery
Working over water
Walking across an untidy site
Contact with electricity
4.5. Where would you find the information on temporary works required on a task?
A.
B.
C.
D.
From the risk assessment
From the method statement
From the site manager
From the temporary works designer
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Summative assessment questions
1. Using a suitable headed table, identify five significant hazards associated with re-roofing
the flat roof on a three storey office building in the middle of a busy city. Rank these hazards
using an appropriate tool and suggest relevant control for these risks where appropriate.
2. List and describe five activities that a construction manager must undertake to fulfil the
duty of care required by the Health and Safety at Work Act 1974 and subsequent
Regulations.
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Section 5: Self assessment answers
2.1
2.2
2.3
2.4
2.5
C
B
C
C
A
3.1
3.2
3.3
3.4
3.5
D
D
C
B
A
4.1
4.2
4.3
4.4
4.5
A
D
A
B
B
Clay Pit Lane Method Statement
Description of the works – this should include what is to be done, where it is to be done and
when it is to be done.
Work sequence – this will record the intended logical sequence of tasks which will be
undertaken to complete the works. It must incorporate the health and safety control
measures identified in the risk assessment.
Resources – the method statement will record the required labour, equipment and materials
necessary to complete the works economically and safely.
Assessment of significant risks and control measures – this process should follow the Five
Steps to risk assessment. Major hazards and their associated probability of occurring must
be identified and recorded. Control measures must then be put in place to reduce the
severity and/or probability of occurring to reduce the risk to an acceptable level.
Personal protective equipment – details of the PPE required appropriate to the work must be
listed.
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Summative questions
1. Table typical entries
1
Description
Hazard/risk
Falling from height
2
3
Manual handling
Falling object
Med
High
Med
High
Med
High
4
Hot work/fire
Med
High
Med
5
Obstruction of footway
Med
Med
Med
Ref
Severity
Prob.
Risk
Control
High
High
High
Scaffold handrail, fall restraint
harness
Lifting equipment, training
Safety netting, toe boards,
safe storage of materials
Permit to work system,
training, PPE, fire fighting
equipment and evacuation
procedures
Diverted pedestrian route,
segregation from traffic,
assigned delivery areas,
signage
2. Activities could include:
Policy – it is essential that a health and safety policy is in place at organisational level.
Organisation – an organisational structure identifying roles and responsibilities must be in
place. This must clearly show lines of communication and reporting.
Risk assessments – there is a responsibility to ensure that, so far as is reasonably practical,
a safe place of work under the HSWA 1974. The MHSWR 99 extends this duty to undertake
a suitable and sufficient risk assessment for all work activities.
Training and induction – the HSWA requires that suitable training is in place to ensure safe
systems of work. Induction and refresher training must be undertaken for employees and
visitors.
Keeping records – There is a duty under RIDDOR 95 to report accidents, some diseases and
near misses. These need to be reported to the HSE within set timescales.
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Section 6: Bibliography, references and suggested further reading
Below are a number of sources that were reviewed in the production of this document.
These are suitable for further reading with the majority freely available to download from the
internet.
Health and Safety at Work Act etc 1974: Elizabeth II. Chapter 37. Her Majesty’s Stationery
Office, 1974 [internet] Available from: www.legislation.gov.uk [accessed 26/5/2011]
HSE (2006) 5 steps to risk assessment INDG 163 (rev2) 06/06 [internet] Available from:
http://www.hse.gov.uk/pubns/indg163.pdf [accessed 26/5/2011]
HSE (2007) L144 Managing health and safety in construction. The Construction (Design and
Management Regulations 2007 [internet] Available from:
http://books.hse.gov.uk/hse/public/saleproduct.jsf?catalogueCode=9780717662234
[accessed 25/5/2011]
HSE (2008) L73 A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences
Regulations 1995 [internet] Available from:
http://books.hse.gov.uk/hse/public/saleproduct.jsf?catalogueCode=9780717662906
[accessed 3/6/2011]
HSE (2011) Health and Safety Executive website [internet] Available from: www.hse.gov.uk
[accessed 26/5/2011]
HSG 65 (1997) Successful health and safety management [internet] Available from:
http://www.hse.gov.uk/pubns/priced/hsg65.pdf [accessed 3/6/1011]
Hughes, P. Ferrett, E. (2008) Introduction to Health and Safety in Construction. 3rd Ed.
Elsevier.
Management of Health and Safety at Work Regulations 1999 No 3242 [internet] Available
from: www.legislation.gov.uk [accessed 26/5/2011]
Wikipedia (2011) Negligence [internet] Available from:
http://en.wikipedia.org/wiki/Negligence#Duty_of_care [accessed 3/6/2011]
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