NEBOSH Construction Certificate: Unit Ncc1

NEBOSH Construction Certificate
UNIT NCC1
Managing and Controlling Hazards in Construction Activities
Sample Trainer Pack

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relevant awarding body (e.g. NEBOSH, IOSH, IEMA).The full pack –of which this is a sample – includes the following resources:
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reference only.
• A ‘helicopter’ plan (MS Word) – an overview of how the course will be delivered over its duration.
• Daily lesson plans (MS Word) – a suggested breakdown of how the detailed subjects specified in the qualification
syllabus will be covered on each day of the course
• Slides (MS PowerPoint) – full-colour slides addressing the subjects specified in, and following the structure of, the
qualification syllabus.
• Depending on the course, some Packs also contain additional resources, to be used at the tutor’s discretion.
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tutor to source the suggested material, should he or she wish to do so.
This ‘Sample Trainer Pack’ contains a selection of pages from a lesson plan, a number of corresponding slides, and the
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of the full materials.
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Time Topic
NEBOSH NCC1 Lesson Plan: Day 7
Delivery and Key Points
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Aid
09.00 Review Element 9 and start of Element 10 with Q/A session
R I Review
Questions /
Flipchart
09:10 Roof work Introduction to and hazards of:

• types of roof
• fragile roofs
• Means of access
T E Slides
• Edge protection
• Crawl boards
• Fall arrest – application to roof work
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09:45 Protection of others
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Introduction – principal hazards
Demarcation, barriers, signage, lighting, sheeting and head protection
Slides
10:00 Working near / over water

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Examples and hazards
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Precautions – buoyancy aids, safety boat
Slides
10:30
11:00 Past questions P Break – Questions and answers.
If time permits, review of previous questions and answers.
11.30 Close Element 10
A M
Element 11: Excavation Work and Confined Spaces – Hazards and Control
S Run through the element 11 topics:

• Excavations – hazards and controls
• Confined spaces – hazards and controls
Slides
11.35
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Excavations
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Introduction to excavations Slides
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Time Topic
A L Aid
Hazards Describe the principal hazards
Outline real-life scenarios and ask for personal experiences
R I
E
Risk Assessment Discuss the hazards and risk associated with excavations Slides
Contaminated ground to be included, as is equipment used
Collapse Focus on collapse in particular.
and likelihood of collapse:

• ingress of water
A T
Discuss with group and outline the various factors that influence ground stability
Slides
• toxic and asphyxiating atmospheres

• mechanical hazards
• risk assessment factors M
12:00 Control measures
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Review hazards of underground services
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Describe the general approach to avoiding underground services:
• plans of services
Slides
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• locating using plans, devices
• identify by marking
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• safe digging (by hand if necessary)
Look at HSE guidance on avoidance of electrical services as example
12.30
13:30 Controlling collapse
SA Lunch
Explain the methods that can be used to prevent collapse:

• Battering and stepping
• Traditional sheeting and shoring methods
Slides
R C Include a description of a typical working method and various factors to be

considered
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Time Topic
A L Aid
13:50 Collapse cont… Proprietary systems; describe use of
• hydraulic frames
• manhole shores
• drag boxes
R I Slides
• trench boxes
• side rail systems
Include an outline safe use of these systems
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14:15 Control measures for
Excavation work
Describe the various control measures:
• access and barriers
A Slides
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• crossing points
• unprotected edge of the excavation
Outline the guarding and fencing requirements
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Measures to control outline plant / vehicle protection
Outline control measures associated with undermining adjacent structures.
Example: The end of terrace house to the east of Holloway Road in North
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London collapsed on a Saturday morning in October 2005 after excavation works
had started in the adjacent school playground.
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A large part of the roadway collapsed the following day.
14:30 Confined spaces Introduction to confined spaces Slides
15.00
SA Define the meaning of the term
Discuss the various hazards with examples
Break
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Time Topic
A LAid
15:30 Confined Spaces Regulations Introduce the Confined Spaces Regulations 1997
Outline:
• Risk assessment requirements
R I Slides
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• Safe system of work
• Emergency arrangements
16:00 Confined spaces practical
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Discuss the practical issues associated with confined space entry:
• Atmospheric testing and ventilation
• Isolation from services
• PPE, permit systems
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Slides
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• Training and education
16.30 Element review Previous exam questions to be used Notes
17:00
E
Review of day and finish - Questions and answers.
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A M
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A L
NEBOSH National Certificate R I
in
Construction Health andTSafety
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A
M and Confined
Element 11: Excavation Work
L E
Spaces – Hazards and Risk Control
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A M
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Learning Outcomes
A L
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Explain the hazards and risk assessment
•
I of
excavation work.
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A for excavation
Explain the control measures
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work. M
Explain the hazardsE
•
with confinedP
L and risks associated
space working.
•
A M
Outline the control measures for confined
space working.
S
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Excavations
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Hazards: R I
• Buried services.
• People falling in.
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• Objects and materials falling in.
• Collapse of sides.
T E
?
Can you think of
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• Collapse of adjacent structures.
the circumstances
in which each
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• Water ingress. of these might apply?
A M
• Use of cofferdams and caissons.
• Contaminated ground.
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• Toxic and asphyxiating atmospheres.
RC • Mechanical hazards.
• Overhead hazards including power lines.
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Excavation Hazards
A L
Buried Services R I
• Electricity cables.
Gas pipes. T E
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• Water mains. A
• Rains and sewers. M
•
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Phone and TV cables.
Causing: P
•
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Electrocution hazards.
•
S Fire and explosion.
Rapid flooding of excavation.
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• Financial loss, disruption of services.
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Excavation Hazards
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People Falling In R I
• Because of an unfenced edge.
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•
access equipment. A
While climbing in or out from ladders or other
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Objects and Materials Falling In
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Tools or materials.
•
• A M
Vehicles driving too close.
•
Spoil stacked too close.
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Adjacent
• structure undermined by
RCexcavations.
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Excavation Hazards
A L
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Collapse of Sides and Adjacent Structures
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Problem compounded by:
T E
• Inadequate shoring.
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Additional load on sides.
•
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Shaking of earth walls by machinery vibrations.
•
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Soils structures loose.
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Causing:
•
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Walls fall back into excavation.
•
S Draw adjacent objects/people in.
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•
People crushed below.
Collapse of nearby buildings.
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Excavation Hazards
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Water Ingress R I
From surface water, during heavy
•
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rain and
snow. A
From groundwater (a high
• M area water table),
nearby rivers, streams
L E and watercourses
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(especially if breached).
A
excavation
M
From a burst water main caused by the
•
activities.
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NEBOSH Certificate Unit NCC1

Element 11: Excavation Work and Confined Spaces -
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Hazards and Risk and Control

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Element 11: Excavation Work and Confined Spaces - Hazards and Risk Control
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Learning Outcomes
On completion of this element, you should be able to demonstrate understanding of the content through the application
of knowledge to familiar and unfamiliar situations. In particular you should be able to:
Explain the hazards and risk assessment of excavation work.
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Explain the control measures for excavation work.
Explain the hazards and risks associated with confined space working.
Outline the control measures for confined space working.
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You can use the Learning Outcomes for

each element to test your knowledge and
understanding. These tell you what you should be
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able to do upon completion of your studies for

each element. When you’ve worked through all
the topics in this Unit, go back over the Learning
Outcomes for each element and check that you
can do all the things included.
© RRC
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Excavations Hazards and Assessment
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• The hazards of excavations include: striking buried services; people, objects or materials falling in; collapse of
sides; collapse of adjacent structures; flooding; contaminated ground; toxic and asphyxiating atmospheres; and
mechanical hazards.
• Consideration should be given to overhead hazards, including power lines.
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• Risk assessment factors to consider are: depth, type of soil, type of work, use of mechanical equipment,
proximity of roadways and structures, the presence of the public and weather conditions.
Excavation Work - Hazards and close to the sides of an excavation.
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–– Adjacent structures (e.g. wall or scaffold)
Assessment undermined by an excavation and collapsing in.
The hazards associated with excavation work include:
• Collapse of Sides
• Buried Services
When the unsupported sides of an excavation slip
Striking services such as high voltage electricity and cave in (often due to poor support systems of
cables, gas pipes, mains water or other buried the excavation sides). Severe crush injuries can result
services (e.g. telephone and cable TV lines). This can from even relatively small collapses because soil is
lead to electric shock, arcing, burns and fire, or gas very heavy, especially when wet. Workers buried or
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explosion, or rapid flooding of the excavation, as well trapped in soil can asphyxiate in minutes, and do not
as major business disruption to service users in the have to be completely buried for this to occur; being
area. buried up to the chest can lock the rib cage and have
the same effect.
• Collapse of Adjacent Structures
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Digging too close to, or under, the foundations

which support nearby buildings or structures may
undermine their support and cause collapse of the
building or structure into the excavation. This would
be even more dangerous if the excavation itself were
also to collapse.
• Water Ingress
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–– From surface water, during heavy rain or snow.

–– From groundwater (a high area water table),
nearby rivers, streams and watercourses
(especially if breached).
A shallow excavation revealing a collection of buried services –– From a burst water main caused by the excavation
activities.
• People Falling In
–– Because of an unfenced edge. • Use of Cofferdams and Caissons
Structures (usually watertight enclosures) which are
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–– While climbing in or out from ladders or other

access equipment. pumped dry to allow work to be carried out inside
them below the waterline on bridge building, etc.
• Objects and Materials Falling In
They must be suitably designed and constructed to
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–– Tools or materials (bricks, timber, etc.) falling into

an excavation onto persons, from an unprotected prevent the ingress of water (or other materials),
edge. or appropriately equipped to pump out water and
provide shelter and escape should water or materials
–– Vehicles driving too close to the side of an
enter it.
excavation, collapsing the sides or tipping in.
–– Spoil (loose soil) or stacked loose sand piled too
© RRC Unit NCC1 – Element 11 | 11-1

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• Contaminated Ground • Excavation work will take place beneath the power
–– On sites that previously housed chemical works lines.
or storage areas. These situations, and appropriate controls, are discussed
–– Containing methane or hydrogen sulphide gas in detail in Element 6.
(both from microbial decay).
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Contaminants can be varied in range and include: Risk Assessment
Risk assessments should be carried out in accordance
Industry Possible Contaminant with the Management of Health and Safety at
Petrochemicals Hydrocarbons, benzene, Work Regulations 1999, with due consideration to
phenol, acids, alkalis the excavation under the Construction (Design and
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Management) Regulations 2007.
Steel/iron works Iron, copper, zinc, asbestos
Gasworks/ Coal, sulphur, phenol,
power stations asbestos, cyanides
Pits/quarries Leachates, copper, zinc, lead,
methane Risk assessment – factors to consider:
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Tanneries Anthrax • Depth of the excavation.
• Soil type – this may vary from fine sand which
Miscellaneous Polychlorinated biphenyls, can flow easily, to heavy clay which is much
industries sulphates, metals, more cohesive.
micro-organisms
Three broad classes of ground exist:
• Toxic and asphyxiating atmospheres – from –– Non-cohesive ground or light soil, e.g.
sources mentioned above, and from gases used on sand or gravel, whose natural angle of
site. repose (see later) when dry is usually 45°
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–– Heavier than air, gas such as LPG and carbon or less.
dioxide, can infiltrate an excavation. –– Cohesive ground or heavy soil, e.g. stiff
–– The combustion gases from nearby construction clay, whose natural angle of repose is
equipment, such as diesel generators and motor about 60°.
vehicles can seep into excavations with the same –– Rock, whose natural angle of repose varies
effect. from about 80° for loosely bonded or
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light rock, to 90° for tightly bonded heavy

• Mechanical hazards – mainly from the use of plant
rock. Rock may, however, have steeply
and equipment around or in the excavation.
sloping clay planes which may fail, with
–– Vibration from plant operating may cause resultant collapse.
collapse.
• Type of work involved, e.g. at the side of a
–– Excavating machinery itself may create hazards, road; in a housing development; laying
such as striking persons in or around excavations. pipes/cables; trenches; pits.
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• Use of mechanical equipment – the types

Overhead Hazards Including Power being used.
Lines • Proximity of the excavation to roadways,
Work beneath overhead services and power lines in watercourses, structures, schools, hospitals.
particular should be avoided. • Presence of the public/children.
Before excavation work starts, all overhead services • Weather.
should be identified and any diversions or disconnections
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ensured before excavation work begins. Service providers

should be contacted to obtain accurate plans of supplies.
Three situations arise in construction work at overhead
power lines:
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• No scheduled excavation work or passage of plant to

take place under the lines.
• Excavation plant and equipment will pass beneath
the power lines.
Unit NCC1 – Element 11 | 11-2 © RRC

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Revision Questions
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1. What hazards are associated with work in and

around excavations?
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2. What factors should be taken into account

with regard to risk assessments for
excavations?
(Suggested Answers are at the end.)

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Control Measures for Excavation Work
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• Precautions must be taken to prevent persons falling into, or being injured while working in, excavations.
General precautions include:
–– Identifying buried services and using safe digging methods to avoid contact with them.
–– Supporting the sides of excavations to prevent collapse, and providing workers with suitable access and
egress, and crossing points to pass over excavations.
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–– Barriers, lights and signs used to demarcate danger areas.
–– Spoils (the ground dug from an excavation) to be removed to and stored at a safe distance from the
excavation to prevent it collapsing back in.
–– De-watering and freezing methods used to remove water from excavations.
–– Vehicles and materials on site kept away from excavations to prevent them falling into or collapsing the
excavation.
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–– Workers in excavations wearing items of PPE – safety helmets, safety footwear, respirators or breathing
apparatus, hearing protection.
• When working in the vicinity of contaminated ground, testing is essential and extra welfare facilities should be
provided to accommodate workers (separate from normal site facilities). Health surveillance may be appropriate
for contaminants such as asbestos, lead or radioactive materials.
• Excavation supports, cofferdams and caissons are to be inspected before each shift, and after any event that
could affect the integrity of the excavation, and reports to be made and kept.
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Control Measures • Use cable locators with trained operators. Plastic

and non-metallic underground services cannot be
In common with other construction activities, control
identified by conventional locators, but could be
of the risks involved in excavation is based on effective
identified by the use of metallic tracer wire laid with
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management. The CDM Regulations apply in this

the pipe or by using a signal transmitter inserted and
respect, and excavations must be carried out under the
pushed along the pipe itself.
supervision of a competent person.
Identification, Detection and Marking of

Buried Services
The location and configuration of underground services
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should be identified prior to work commencing. It may

well be possible to avoid cable routes at the planning
stage of work. Before work starts, the following action
should be taken:
• Check any available plans.
• Contact local services providers and owners, such
as electricity, gas, water, telecommunications or TV
companies.
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• Survey the site and surrounding areas to identify

indicators of the existence of cables, etc., e.g.
streetlights or junction boxes.
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Use of a Cable Detector

Source: HSG47 Avoiding Danger from Underground Services, HSE, 2005
(http://www.hse.gov.uk/pubns/priced/hsg47.pdf)

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The positions of known services should be marked on Types of excavation supports include:
plans and also on the ground itself. All employees must
• Battering
receive adequate information and instruction about the
nature of the risks. This allows almost any excavation to be dug without
the need for a support system. It relies on the
Where appropriate, arrangements must be made with properties of the soil into which the excavation is
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the services providers to isolate the cables/pipes and being dug to form a stable, sloping pile when allowed
ensure that it is safe to work in the vicinity of them. to form naturally into heaps. The sloping surfaces of
the heap form an angle with the horizontal called the
Safe Digging Methods angle of repose. Each material has its own particular
Safe digging methods include: angle of repose which will differ according to the
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amount of moisture it contains.
• Using locators to determine the position and route
of pipes or cables (frequently using them during the
course of the work).
• Keep a careful watch for evidence of pipes or cables.
Remember that plastic pipes cannot be detected by
normal locating equipment.
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• If contact is made with any unidentified service pipe
or cable, stop work until it is safe to proceed.
• Regard all buried cables as live until disconnected and
proven – pot-ended cables cannot be assumed to be
dead or disused.
• Excavators and power tools should not be used Angle of Repose
within 0.5m of the indicated line of a cable/pipe. As the excavation is dug out, the sides are sloped
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• Hand digging should be employed when nearing the back to less than the angle of repose (which has to
assumed line of the cable/pipe. be determined first) so that the soil will support
itself without the need for extra support. This
• Spades and shovels (preferably with curved edges) method requires considerable space to construct an
should be used rather than other tools, e.g. forks, excavation and is probably impractical in built-up
picks. areas.
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• Report any damage to the appropriate services and • Shoring

keep personnel clear until it is repaired.
Steel sheets are laid across the faces of the
• Have an emergency plan to deal with such damage to excavation walls, secured together by clamps and
pipes or cables. braced by expandable steel struts or wooden beams.
The steel sheets should be toed in at the bottom and
• Exposed cables and pipes should be supported and
rise above the tops of the trench sides.
protected against damage by backfilling. They should
never be used as hand- and foot-holds.
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Methods of Supporting Excavations

Excavation supports will prevent the collapse of the
side walls of the excavation and allow work to continue
uninterrupted inside the workings. The type of support
structure used will vary, depending on:
• Type of ground being excavated.
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• Length of time the excavation will be open and in

use.
• Type of work being carried out.
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• Groundwater conditions and potential for flooding. Shoring the sides of an excavation by ‘close sheeting’
• Depth of the excavation.
• Number of people in the excavation.

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Trench boxes (support boxes) are ready-constructed Crossing Points
units which can be easily and quickly installed into Excavations should only be crossed at designated points.
an excavation, using an excavator or similar machine, The crossing point should be of sound construction
to provide strong, reliable shoring for most ground and suitable to support all the types of vehicle and
conditions while giving full protection for operatives. equipment likely to use it. Gangways across excavations
They can be moved along as the work progresses. should have guardrails and toeboards.
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Crossing Point
A trench box placed inside a trench creates a protected area for
workers Barriers
Where necessary, both types should have edge These should consist of guardrails (as for a scaffold work
protection and a means of access via a protected platform) to prevent people falling in, and toeboards to
area. prevent objects being kicked down into the excavation.
In addition:
Support of Surrounding Areas
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• To prevent vehicles from falling in, logs or concrete
Where there are structures (walls, bridges, roads, etc.) or blocks are laid some distance from the edge, to act as
buildings next to where excavations will be dug, it may a buffer.
be necessary to prop and/or underpin these structures
• Excavations may need to be covered, particularly at
to prevent the excavation causing their collapse.
night. Such covers need to be capable of bearing a
person’s weight and be held securely in place.
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Means of Access
• Fencing or hoarding may be required to protect
Ladders provide the main method for access to and
members of the public as well as construction
egress from an excavation. They must be suitably
employees.
secured to prevent undue movement and extend above
the excavation to give the necessary height required for a
safe handhold (at least 1.05m). Lighting and Warning Signs
Signs should be used to warn people of the excavation
There must be adequate means of escape in an
hazards, and any special precautions required. They
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emergency: one ladder every 15m is an average to work

should be placed in clearly visible spots at all potential
to (more may be required depending on the number of
access points.
workers and the potential risk, e.g. where there might be
a possibility of flooding from a rising water table). Appropriate lighting should be installed to ensure that
there is an adequate level of illumination, without
Ladders must be kept in good condition, be fit for the
distracting shadows, to ensure the safety of work
purpose and of adequate strength. Climbing in and
activities both within the excavation and on the surface.
out of the excavation using other means should be
High-powered electric lights or those which operate
prohibited.
from liquid petroleum gas (LPG) will be required for
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general workplace illumination, and consideration may

need to be given to smaller, personal lights for individual
workers. These should be battery-operated to avoid the
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risks associated with trailing electrical leads.

When working on a roadway, the police or the local
authority need to be consulted about traffic lights or
stop/go signs. There are rules for the placing of cones
to warn motorists of the hazard.

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Safe Storage of Spoil Pipe Freezing
If this is to be left in spoil heaps near the excavation, Pipe freezing uses a jacket that is clamped around a pipe
there must be space to stack it without interfering and feeds liquid nitrogen into the jacket to freeze that
with other operations, and leaving a clear area of 0.6m section of pipe. Liquid nitrogen exposes workers to:
between the spoil and the edge of the excavation. The • Frost burns from the cold liquid/gas and the clamp
officially recognised depth of the excavation depends
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and fittings.
on the distance of the spoil heap from its edge. For
excavations up to 6m deep, the following rules apply in • Inhalation of nitrogen gas, which can lead to loss
the UK: of concentration, disorientation and possible
• If the spoil heap is within 1.5m of the edge of the asphyxiation.
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excavation, the depth of the excavation should be Should a pipe leak or rupture during the process, the
measured from the top of the spoil heap. worker can also be exposed to the contents of the pipe.
• If the spoil heap is more than 1.5m from the edge Pipe freezing using liquid nitrogen should only be
(but less than the actual depth of the excavation), the carried out under the controls of a permit-to-work, or
official depth should be taken as the actual depth in an area with restricted access. Only properly trained
plus half the height of the spoil heap. and competent workers should undertake this work.
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Equipment should be in place to pump out the contents
De-Watering and Use of Freezing Equipment of the excavation (both before freezing and if a rupture
occurs) and forced ventilation used (e.g. a fan directing
Preventing Water Entering Excavations
air across or into the excavation). Vented pipe-jackets
Water can fall as rain, snow and sleet directly into should be used to apply the nitrogen, and oxygen levels
excavations, especially if they are uncovered. The run-off should be continuously monitored.
following these downpours can also run in. Water can
enter through the sides depending on the height of the Operatives should use cold-resistant (insulating)
surrounding water table, and proximity of watercourses gloves (and all other appropriate PPE), and emergency
(rivers, streams, lakes, etc.) can cause excess water. procedures are needed to rescue persons injured or
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overcome by lack of oxygen. For this, trained rescue
Accidental damage to nearby tanks, water mains or other personnel will be necessary using breathing apparatus.
supply pipework in the vicinity of the excavation can also All other precautions for work in excavations must be
lead to an ingress of water. All exposed pipes should be followed.
identified and supported.
To protect the stability of the sides of the excavation, Positioning and Routeing of Vehicles, Plant
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drainage channels can be cut around the excavation and and Equipment
the water can be channelled away to sump points where To prevent vehicles and objects falling into excavations,
it can be pumped away. The water table is then lowered and collapse of sides, the following precautions should
below the level of the excavation. In extreme cases, be observed:
watercourses might be redirected.
• Do not stack waste, spoil or building materials near
Excavation sides can be strengthened by using higher the edge. Apart from the risk of falling material, the
shoring and sandbagging the outside. However, the weight of stacks close to the edge may cause the
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continued flow of water from the area surrounding the walls of the excavation to collapse.
excavation may cause settlement problems.
• Machinery and vehicles should only be operated
Well pointing or deep wells can be considered where in specially designated areas strong enough to
sandy or silty soil exists. Ground freezing or providing an withstand the effects of vibration without causing a
impermeable barrier by injecting cement, bentonite or collapse. Specially built routes to allow access to the
a chemical is an option, but can be expensive and cause floor of the site for vehicles and plant may have to be
disruption to the ground. constructed.
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The disposal of any water should be discussed with the • Where vehicles have to pass close to excavations,
appropriate environmental agency. barriers and signs should be in place to keep them a
safe distance away.
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• Where vehicles have to approach the edges of the

excavation (e.g. to receive or tip materials) there
should be stop blocks to prevent them overrunning.

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Personal Protective Equipment Welfare Facilities
Hard hats and safety footwear are a likely requirement at Where work involves contaminated ground, the welfare
all times. The need for other PPE will be determined by requirements include:
the nature of the work carried out in the excavation, e.g.:
• Separate facilities (toilets, wash rooms and showers,
• Fumes and dust may require the use of masks and rest and eating facilities) from the main facilities will
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respirators. be required for all work involving contaminated sites.
• Excessive noise levels will require the wearing of • Specialist facilities may be required where work
hearing protection. involves asbestos, lead or radioactive materials.
• Where welding work is carried out, face shields and • Separate changing rooms and clothing
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protective clothing will be necessary. accommodation may be required to prevent
cross-contamination.
• Breathing apparatus and safety harnesses may be
required for working in tunnels and shafts. • These facilities must have adequate heating, lighting
and ventilation.
Particular Requirements for
Health Surveillance
Contaminated Ground
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Medical practitioners can screen the workforce involved
Soil Testing (e.g. blood/urine testing) and provide continued
Soil testing to show the presence of any contaminants monitoring to ensure that no serious medical conditions
must be carried out by competent persons from an arise. The effect of screening can also alleviate any
accredited laboratory. anxiety caused to either the workforce or the public as to
whether the measures in place are adequate.
Once the nature of contaminants is established,
measures can be put in place to limit the risk that might
be present, e.g. PPE, hygiene facilities, safe systems of Inspection Requirements for Excavations
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work, medical surveillance. No person is allowed to work in an excavation,
cofferdam or caisson (other than to examine it) until it
Great care must be taken as: has been competently examined.
• Digging will uncover buried materials or The inspection of excavations, their supports, cofferdams
contaminants within the ground which are hazardous and caissons is required:
to health.
• At the start of each shift.
MP
• The contaminants themselves can change over time

due to bacterial or chemical action, which may also • After any event likely to have affected the strength or
alter their properties. This may be the result of stability of the excavation (e.g. flooding).
the decomposition of organic matter or from the • After any material unintentionally falls or is dislodged.
dumping or spillage of hazardous substances.
An inspection report must be made and kept (CDM
• Certain contaminants are subject to specific Regulation 33).
legislation, namely asbestos, lead, anthrax, radioactive
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materials and buried explosives, and well established • The report must be completed before the end of the
procedures need to be followed to deal with each of shift in which the excavation was inspected.
these situations. • A copy of the report must be given to the person in
• There may be radioactive hazards from the ground charge of the worksite within 24 hours of completing
itself (probably as a result of previous occupancy). the inspection.
• Toxic and asphyxiating atmospheres may be present, • Reports must be retained at the site until the
e.g.: excavation work is completed and, after that, for
three months.
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–– Flammable gases such as methane (marsh gas)

and carbon monoxide from plant and machinery Though excavations must be routinely inspected
used in connection with excavation, including prior to each shift, no more than one written report is
pumps involved in de-watering operations. needed in seven days unless the strength or stability of
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–– Toxic gases such as hydrogen sulphide. the excavation is affected, e.g. after accidental falls of
–– Chemicals and metal compounds, either in material.
containers or within the soil.

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An excavation inspection report must contain:
• The date, time, location and a description of
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the workplace inspected.
• The name and position of the person
inspecting/making the report.
• The name of the person on whose behalf the
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inspection was carried out (i.e. the person in
charge of the worksite).
• Details of any matters identified that could
give rise to health and safety risks, and any
actions taken to control them.
• Details of any further actions considered
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necessary.
When work in the excavation is completed, support

materials (timber, sheeting, etc.) should be safely
removed by experienced workers and a competent
person should inspect the site to ensure that all
dangerous materials and equipment have been removed.
Water may have to be pumped out of the excavation
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before it is filled.
Filling should use only appropriate materials and be
conducted in a controlled manner under the direction of
a competent person. Uncontrolled tipping is an offence.
MP
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Revision Questions
3. What controls may be necessary during

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excavation work?
4. What particular hazards may arise during the

excavation of contaminated ground?
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5. What inspection requirements are there for

excavations?

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Confined Space Working Hazards and Risks
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• Confined space is any enclosed space with a specified risk of injury associated with it, including trenches, sewers,
chambers and pits.
• Hazards include toxic, explosive and oxygen-deficient atmospheres; heat and water; free flowing solids and
restricted space.
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Meaning of ‘Confined Space’ Examples of confined spaces include: chambers, tanks,
vats, silos, pits, reaction vessels, trenches, pipes, sewers,
enclosed drains, flues, wells, open-topped chambers,
MA
combustion chambers in furnaces, ductwork or other
similar spaces.
Confined Space Other places become confined spaces:
A confined space is any enclosed space where • Due to the type of work undertaken, e.g. spray
there is a reasonably foreseeable specified risk of painting a room.
any serious injury associated with it. • As a result of a change in conditions inside the space,
e.g. overheating in a plant-room or electricity
sub-station.
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• Due to a change in confinement or the degree of
enclosure, e.g. inside an item of moving plant or
machinery (such as a compactor or baling machine).
“Specified risks” associated with work in Typical Confined Spaces in Construction

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confined spaces are risks of: Typical confined spaces found in construction work
include trenches, sewers, manholes, tunnels, excavations,
• Serious injury arising from fire or explosion.
chambers, tanks, pits, cellars and unventilated rooms.
• Loss of consciousness arising from an increase Cofferdams and caissons by their enclosed nature may
in body temperature. also be included.
• Loss of consciousness arising from The Confined Spaces Regulations 1997 lay down the
asphyxiation due to gas, fume, vapour or lack legal requirements for work in confined spaces. These
SA
of oxygen. Regulations contain the following key duties:

• Drowning arising from a free-flowing solid, • Avoid entry to confined spaces, e.g. by doing the
e.g. flour, grain, sand, sugar, etc. work from outside.
• The inability to reach a respirable • If entry to a confined space is unavoidable, follow
environment due to entrapment by a a safe system of work and put in place adequate
free-flowing solid. emergency arrangements before the work starts.
Due to the nature of the work itself, i.e. where there are
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risks from machinery, electricity or hazardous substances,

other legislation may be involved as discussed in earlier
elements.
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Hazards and Risks Associated with Oxygen-Deficient or Enriched Atmospheres
Confined Spaces Oxygen depletion can occur:
• Through displacement (the addition of a gas or
Toxic Atmospheres
vapour to the space displaces the oxygen), e.g.:
Poisonous gas, fumes or vapour can:
–– Purge gas.
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• Build up in sewers, manholes and pits. –– Pipe freezing.
• Enter tanks or vessels from connecting pipes. –– Gas leaking from elsewhere.
• Through consumption (oxygen in the atmosphere is
• Leak into trenches and pits in contaminated land, e.g.
depleted by a chemical reaction or biological process
old refuse tips and old gas works.
occurring in the space), e.g. oxidation, rusting,
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Certain toxic gases may be present: bacterial growth.
• Hydrogen sulphide from sewers or decaying material. • Through welding operations.
• Carbon monoxide from internal combustion engines • By people working.
(petrol/diesel) or the incomplete combustion of
• By any process of combustion.
LPG.
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• Where there is a reaction between some soils and the
• Carbon dioxide:
oxygen in the atmosphere.
–– From fermentation processes.
–– Naturally from the rocks/soil. • Following the action of groundwater on chalk and
limestone – this can produce carbon dioxide and
–– From combustion processes.
displace normal air.
• Certain fumes/vapours could be present from
chemicals, e.g. ammonia, chlorine or petrol/solvents. Oxygen enrichment occurs:
• When oxygen is artificially introduced into a space.
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• Where the chemical contents of a space release
oxygen as they degrade.
• As a result of leaking equipment.
Any organic material, e.g. oil and grease, will become
highly combustible and paper, material or clothing
will burn fiercely. If an oxygen-enriched atmosphere
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is present, the space must be ventilated until normal

oxygen levels are obtained.
Heat
Hot conditions can lead to a dangerous increase in body
temperature and may result in:
Poisonous gases, fumes and vapours can build up in sewers
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• Heat stress, fatigue or exhaustion.

Explosive or Flammable Atmospheres • Dehydration/loss of fluids.
Certain gases in small concentrations can pose a hazard • Loss of consciousness.
and produce either a fire or an explosive atmosphere
depending on their explosive range in the atmosphere. Precautions:
Examples include LPG, acetylene, propane, butane, • Increasing the number of openings might improve
methane, hydrogen sulphide, acetone, toluene, alcohol, ventilation.
white spirit, thinners, solvents and hydrogen.
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• Adequate rest breaks and cool drinks may help to

Confined spaces that need to be entered for cleaning alleviate hot conditions.
or maintenance may have been used to store hazardous
substances, e.g. toxic, flammable or explosive liquid or • Mechanical ventilation:
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dust. These hazards must be addressed by procedures –– May be necessary to ensure an adequate supply
and equipment to eliminate harmful exposure to of fresh air.
authorised entrants. –– Will be essential where portable gas cylinders
and diesel-fuelled equipment are used inside the
space, because of the dangers from build-up of
engine exhaust.

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Water The enclosure and working space may increase other
Work in confined spaces such as trenches, pits, sewers dangers arising through the work being carried out, e.g.:
that contain standing water can lead to gastroenteritis, • Machinery being used may require special
Weil’s disease and hepatitis A or B. There are also the precautions, such as:
problems of water ingress and being drowned or swept –– Provision of dust extraction for a portable grinder.
away.
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–– Precautions against electric shock.
Additional precautions include: • Gas, fume or vapour can arise from welding, or
• Weather forecasting. by use of volatile and often flammable solvents or
adhesives.
• Establishing local on-site procedures to deal with
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large volumes of water and contingency plans to deal
with such dangers.
• Safety harnesses and chain barriers across the water
to prevent workers being washed away should be
provided.
• The workers themselves must be aware of the
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personal hygiene requirements and the inoculations
recommended for such working conditions.
Free-Flowing Solids
A person can drown or asphyxiate if immersed in any
free-flowing solid such as cement or sand. The solid
acts as a liquid because it cannot be breathed, possibly
clogging the respiratory tract and entering the lungs,
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depriving them of oxygen.
Restricted Space
Where a space imposes exceptional constraints as a
result of its physical layout (lack of space), suitable
personnel should be selected to enter. They must:
MP
• Be capable of doing the work.

• Be physically fit and agile.
• Not suffer from claustrophobia.
• Be able to wear breathing apparatus – medical advice
on an individual’s suitability may be needed.
The confined space may be further restricted by the
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equipment it contains and the tools and PPE used by

the person entering. Liquids or solids can suddenly
fill the space, or release gases into it, when disturbed.
Free-flowing solids such as cement can also partially
solidify or ‘bridge’ in silos, causing blockages which can Revision Questions
collapse unexpectedly. If access to the space is through
a restricted entrance, e.g. a manhole, escape or rescue in
an emergency will be more difficult. 6. (a) What is the definition of a confined
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Some of the above conditions may be present in the space?

confined space, some may arise from the work being (b) Where are confined spaces found on a
carried out, or because of ineffective isolation of plant construction site?
RR
nearby, e.g. leakage from a pipe connected to the

confined space. 7. What hazards are associated with confined
spaces?

AL
Control Measures for Confined Space Working
RI
• Ideally, persons should not enter confined spaces at all, but where they must, precautions must be taken to
protect them.
• Risk assessment and planning will determine what precautions are appropriate.
• Precautions will include the use of a permit-to-work; training of competent personnel; and testing the
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atmosphere for contaminants.
• There must be a safe way in and out of a confined space, usable by persons wearing PPE, including rescue crews.
• Monitoring arrangements must be in place and procedures to deal with rescue and any other emergencies.
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Precautions for Safe Entry Risk Assessment
The Management of Health and Safety at Work
Avoidance Where Possible Regulations 1999 require a risk assessment to be carried
Persons should not enter a confined space to carry out out to identify the hazards present, assess the risks and
work unless it is not reasonably practicable to do it any determine what precautions to take. The Confined
other way. Better work-planning or a different approach Spaces Regulations 1997 apply, and the assessment
can reduce the need for confined space working, e.g.: will help to identify the precautions to be planned
and included in the safe systems of work required.
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• Modify the confined space itself so that entry is not
Appropriate health surveillance must be offered where
necessary.
required.
• Do the work from outside, e.g. blockages can be
cleared in underground chambers by use of remotely
operated rotating flail devices, vibrators or air
purgers.
MP
• Inspection, sampling and cleaning operations Confined space risk assessment will consider:
can often be done from outside the space using
• Whether confined space entry can be
appropriate equipment and tools.
avoided.
• Remote cameras can be used for internal inspection
• Work needing to be done, e.g. routine or
of vessels.
breakdown.
A safe system of work is always required to enter, carry
• Methods of working – tools and equipment
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out work and leave a confined space (other than in an

to use.
emergency).
• Entry with or without breathing apparatus.
• Hazard identification in the plant.
• Hazards from neighbouring plant/vessels.
• Suitability of those carrying out the work.
• Steps necessary to make the job safe, i.e. a
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safe system of work.

• Arrangements for emergencies and rescue
facilities.
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Planning Requirements of Permit
Preliminary planning of confined space entry is The safe system of work based on the risk assessment
important to establish whether entry: should consider:
• Can be avoided or an alternative method used. • Adequate, competent supervision.
• Is required without breathing apparatus. • Experienced and competent workers.
RI
• Is required with breathing apparatus. • Proper isolation of plant and equipment.
Proper planning will also help to establish effective • Pre-cleaning and correct disposal of debris and
lines of authority and communication so that the sludge.
procedures put in place are clear and free from
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• Adequate lighting (intrinsically safe) and ventilation.
any misunderstanding or conflict of interest. The
precautions necessary for each entry will vary with the • Atmospheric testing.
nature, size, location, risks involved and the number of • Provision of specialist, non-sparking tools, breathing
people working. However, the basis of the safe system of apparatus and rescue harnesses.
work will depend on each risk assessment carried out.
• Emergency arrangements/plans.
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Permit-to-Work Procedures and The permit-to-work programme incorporates the
Requirements requirements laid out in the safe system of work
An employer must establish a permit system for including:
controlling confined space entry, using competent • Hazard Identification
personnel to ensure formal checks are undertaken, and Each permit requires the confined space to be
putting in place a safe system of work before people evaluated for its potential hazards and their severity,
are allowed to enter the confined space. A permit including surrounding plant and buildings.
system is also a means of communication between site
management, supervisors, and those carrying out the • Hazard Control
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hazardous work. –– Safe entry procedures and practices must be put
in place.
–– The equipment or area may need to be
withdrawn from service.
–– Warning notices should be displayed and all plant
Essential features of a permit-to-work system operators notified.
MP
are: –– The person in charge of the process should be

competent and sign the permit.
• Clear identification of who may authorise
particular jobs (and any limits to their • Isolation and/or Locking Off
authority). –– Plant should be physically disconnected from
• Who is responsible for specifying the other items of plant.
necessary precautions (e.g. isolation, gas –– Mechanical and electrical isolation of equipment
SA
testing, emergency arrangements, etc.). is essential if it could otherwise operate, or be

operated, inadvertently.
• The inclusion of contractors engaged to carry
–– Lock-off systems should be used.
out work.
• Training and instruction in the issue and use
of permits.
• Monitoring and auditing to ensure that the
system works as intended. Lock-Off System
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A lock-off system involves securing an electrical

isolator (or other energy control handle, lever,
pipe-valve, etc.) with a padlock so it cannot be
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switched on or operated. Each operative will

apply their own separate padlock, and a safety
sign (“tag”) will be put on the locks.

AL
–– If gas, fume or vapour could enter the confined • Protection from External Hazards
space, physical isolation of pipework, etc. needs Steps must be taken to protect the entrant(s) from
to be carried out. external dangers, e.g. placing vehicle barriers when
–– In all cases, a check should be made to ensure the operation is adjacent to traffic areas.
isolation is effective.
• Duty to Other Employers
• Permit System
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Contractors hired to perform confined space entry
A written system for preparing, issuing and must be provided with all relevant health and safety
implementing permits for entry must be established. information they need to protect their employees’
A separate and additional ‘hot work permit’ is safety.
required for operations which could provide a source
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of ignition, such as riveting, welding, cutting, burning
or heating.
• Employee Information
Signs that warn of the hazards and prohibit A sentry must be present at all times during
unauthorised entry must be posted on or near entry operations, maintain continuous contact
confined spaces. with those inside, and order them to evacuate
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• Prevention of Unauthorised Entry the confined space if one of the following occurs:
A combination of worker training, posting of signs, • A condition is observed that is not allowed
and utilisation of barriers must be employed as in the entry permit (e.g. the development of
necessary. a hazardous atmosphere caused by changing
conditions or as a result of the work activity in
• Employee Training the confined space).
Personnel directly involved with confined space entry,
issuing permits-to-work, or entry supervision must • The sentry detects behavioural changes in the
receive specialised training. entrants that could be the result of harmful
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exposure.
• Equipment
• The sentry detects a situation outside the
Testing, monitoring, communication and PPE space which could endanger those inside.
necessary for safe entry and rescue must be provided,
maintained, and used. • The sentry is monitoring more than one
permit space and must focus attention on
• Rescue the rescue of the entrants from one of those
MP
Procedures, plans and equipment necessary for spaces.

rescue must be in place. An employer must have a
trained, in-plant rescue team or an arrangement with • The sentry must leave the workstation for any
an outside team to respond upon request. Rescuers reason.
must have the same entry training as employees
working in confined spaces. In addition to specific
rescue training, they should attend a simulated Training and Use of Competent Persons
SA
rescue operation at least once every 12 months. If All persons involved with supervising or carrying out
an outside rescue organisation is used then they confined space work must have adequate training, which
must be made aware of the specific hazards they may should be repeated regularly.
encounter when responding to an emergency.
The training should involve the permit-to-work,
respiratory equipment, gas-testing equipment, rescue
procedures, first-aid treatment including artificial
respiration, evacuation and emergency procedures,
fire-fighting, and communication procedures. No person
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should be allowed to enter a confined space unless they

are trained and competent to do so and records should
be kept of all types of training carried out.
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Procedures, plans and rescue equipment must be in place

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Atmospheric Testing Means of Access
It is necessary to check that the atmosphere within Safe access/egress must be provided. No one may
a confined space contains sufficient oxygen, is free enter or remain in a confined space unless the following
from both toxic and flammable vapours and is fit to requirements are met:
breathe. Testing should be carried out by a competent
• They are wearing approved breathing apparatus if
person using a suitable gas detector which is correctly
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dangerous fumes are present or in an
calibrated. Breathing apparatus should be worn to enter
oxygen-deficient atmosphere. The minimum space
a confined space for testing. Gas testing involves testing
required in this case is 575mm. Smaller openings
the atmosphere at all locations, drain points, instrument
must be assessed for safe access and egress.
bridles, orifices, and at a high and low level, as some
denser gases do lie in low positions, e.g. hydrogen • Depending on the work being done, a number of
TE
sulphide. access and egress points may be required.
Where the risk assessment indicates that conditions • They have been authorised to enter by a responsible
may change, or as a further precaution, continuous person, i.e. through a permit-to-work system.
monitoring of the air may be necessary.
• Where practicable, they are wearing a belt or harness
with a rope securely attached.
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• A person keeping watch (sentry) outside and capable
of pulling them out is holding the free end of the
rope.
Atmospheric testing should look for:
A person may enter or work in a confined space without
• A flammable gas, vapour or mist in excess of
breathing apparatus, provided that:
10% of its Lower Explosive Limit (LEL).
• Effective steps have been taken to avoid ingress of
• An atmospheric oxygen concentration below
dangerous fumes.
19.5% or above 22%.
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• Sludge or other deposits liable to give off dangerous
• An atmospheric concentration of any
fumes have been removed/cleaned.
substance for which a Workplace Exposure
Limit (WEL) is published in EH40 by the HSE • The space contains no other material liable to give
and which could result in employee exposure off such fumes.
in excess of the permissible limits. • The space has been adequately ventilated and tested
• An airborne combustible dust at a for toxic, flammable and explosive gases/fumes.
MP
concentration that obscures vision at a • There is a supply of breathable air.

distance of 5 feet (1.52m) or less.
• The space has been certified by a responsible person
• Any atmospheric condition recognised as as being safe for entry for a specified period without
immediately dangerous to life or health. breathing apparatus.
Personal Protective Equipment

SA
Appropriate PPE needs to be worn which:

• is fit for purpose;
• fits correctly; and
• is compatible with any other equipment worn.
In confined spaces this might include hard hats, coveralls,
boots, Wellingtons, breathing apparatus sets, gloves
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Flammable Explosive and/or safety spectacles, radios.

Testing the atmosphere in confined spaces is essential. It is particularly
important to be aware of any flammable or explosive substance that
may be/have been present
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AL
Monitoring Arrangements • Means of communication and summoning help:
Monitoring is carried out by competent, trained –– A tug-rope is commonly used when personnel are
personnel with individual detector tubes which are not visible.
available for specific substances. –– If radio is to be used it must immediately be
tested on entry.
Gas monitoring can be carried out using appropriately
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calibrated portable gas detection equipment. The gas • Lifelines.
meters can be used to detect individual gases or to • Oxygen – for resuscitation, not for ‘sweetening’
sample a range of gases. (increasing the oxygen content in the atmosphere).
Personal monitors may also be used by individuals Rescue teams must not enter without breathing
working in confined spaces.
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apparatus. They must be thoroughly trained in rescue
techniques, first-aid and use of resuscitators.
An essential part of such a rescue plan might include:
• Shutting down adjacent plant before attempting
Monitoring may be required: emergency rescue.
• Communication with local emergency services
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• Before the first entry.
(e.g. the Fire Service), remembering to pass on
• At the start of each shift. information about the particular dangers in the
• At each entry. confined space.
• After each break.

• At a specified time limit, as set out in the
permit.
• Continuously.
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Emergency Arrangements
The Confined Spaces Regulations 1997 require
arrangements for emergency rescue to be in place
MP
when working in a confined space. The rescue plan

must be communicated to all personnel involved before
commencing work.
• Arrangements for raising the alarm and carrying out
rescue operations must be in place.
• Rescue team members and equipment should be
readily available for emergencies.
SA
• Team members must be:

–– Properly trained in rescue techniques and use of
all equipment.
–– Physically fit enough to carry out their task.
• Rescuers must be aware of and protected against the
cause of the emergency.
Rescue equipment should consist of: Revision Questions
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• Breathing apparatus sets.

8. What precautions are necessary for safe entry
• Rescue and resuscitation equipment, harnesses,
into a confined space?
RR
lifting tripods and winch, stretchers, first-aid

equipment. 9. What factors might be involved in a safe
• Fire-fighting equipment. system of work for confined space entry?

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NEBOSH Construction Certificate

Sample Trainer Pack

09:10 Roof work Introduction to and hazards of:

10:00 Working near / over water

11:00 Past questions P Break – Questions and answers.

If time permits, review of previous questions and answers.

11.30 Close Element 10

S Run through the element 11 topics:

Collapse Focus on collapse in particular.

and likelihood of collapse:

• toxic and asphyxiating atmospheres

13:30 Controlling collapse

Explain the methods that can be used to prevent collapse:

R C Include a description of a typical working method and various factors to be

14:30 Confined spaces Introduction to confined spaces Slides

16:00 Confined spaces practical

16.30 Element review Previous exam questions to be used Notes

NEBOSH Certificate Unit NCC1

Hazards and Risk and Control

You can use the Learning Outcomes for

able to do upon completion of your studies for

Excavation Work - Hazards and close to the sides of an excavation.

Digging too close to, or under, the foundations

–– From surface water, during heavy rain or snow.

–– While climbing in or out from ladders or other

–– Tools or materials (bricks, timber, etc.) falling into

© RRC Unit NCC1 – Element 11 | 11-1

light rock, to 90° for tightly bonded heavy

• Use of mechanical equipment – the types

ensured before excavation work begins. Service providers

• No scheduled excavation work or passage of plant to

Unit NCC1 – Element 11 | 11-2 © RRC

1. What hazards are associated with work in and

2. What factors should be taken into account

(Suggested Answers are at the end.)

© RRC Unit NCC1 – Element 11 | 11-3

Control Measures • Use cable locators with trained operators. Plastic

management. The CDM Regulations apply in this

Identification, Detection and Marking of

should be identified prior to work commencing. It may

• Survey the site and surrounding areas to identify

Use of a Cable Detector

Unit NCC1 – Element 11 | 11-4 © RRC

• Report any damage to the appropriate services and • Shoring

Methods of Supporting Excavations

• Length of time the excavation will be open and in

© RRC Unit NCC1 – Element 11 | 11-5

emergency: one ladder every 15m is an average to work

general workplace illumination, and consideration may

risks associated with trailing electrical leads.

Unit NCC1 – Element 11 | 11-6 © RRC

• Where vehicles have to approach the edges of the

© RRC Unit NCC1 – Element 11 | 11-7

• The contaminants themselves can change over time

–– Flammable gases such as methane (marsh gas)

Unit NCC1 – Element 11 | 11-8 © RRC

When work in the excavation is completed, support

3. What controls may be necessary during

4. What particular hazards may arise during the