Managing risks in existing buildings · prices from bulk orders of equipment or other items. •...

Managing risks in existing buildingsAn overview of UK risk-based legislation for commercial and industrial premises

Steve Manchester

Steve Manchester

Managing risks in existing buildingsAn overview of UK risk-based legislation for commercial and industrial premises

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ii

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The author gratefully acknowledges the contributions from BRE colleagues towards this publication; in particular Chris Scivyer, Andy Dengel, Gary Timmins and Stephen Garvin.

Front cover imagesLeft: Windows explode due to effects of fireTop right: Legionella (Legionella pneumophila) bacteriaBottom right: Asbestos fibres

Back cover imageFlooding

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FB 86First published 2016ISBN 978-1-84806-459-1

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Contents

iii

Executive summary iv

1 Introduction 1

2 Hazard and risk 2

3 Current legislative framework 4Enforcement 5Corporate governance 5

4 Analysis of specific hazards 6Fire 6Explosion 9Asbestos 13Legionella 14Radon 16Noise 18Vibration 20Flooding 21Contaminated land 23Environment 26

5 Benefits of holistic approach to risk management 29Coordinated risk mitigation 29

6 References 31

Contents

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iv Managing risks in existing buildings

Recent and new health and safety legislation in the EU is all based on the fundamental principle of assessing risk, with the Health and Safety at Work etc Act 1974 remaining the primary legislation against which prosecutions are brought by the enforcing authorities in the UK. The EU is now the main driving force behind new UK legislation and a wide range of new health and safety regulations have come into force to implement EU directives.

This guide aims to provide an overview of UK risk-based legislation for existing buildings and their sites, both commercial and industrial. It shows building owners and managers how a coherent and holistic approach to undertaking risk assessments can provide cost savings – from less time spent undertaking and procuring risk assessments, a reduction in employee injuries as a result of assessing the risks (the primary aim of conducting risk assessments being life safety) and improved site and building management.

The guide focuses on a number of key areas:

• fire• explosion• asbestos• legionella• radon• noise• vibration• flooding• contaminated land• environment.

Executive summary

A structured and holistic approach to undertaking risk assessments in these areas leads to cost savings and improved outcomes compared with a piecemeal approach where each area is addressed individually. In summary the benefits are:

• Less disruption to the owner of the business having the assessments done as there are reduced numbers of contractors on site and the assessors can identify the potential solutions covering a number of risk areas in each particular part of the premises being surveyed.

• Money can be saved by reducing time spent finding, engaging and managing numerous separate external contractors.

• More cost-effective pricing of the work by a company that can do all the risk assessments, compared with numerous separate quotes.

• Reduction in time spent undertaking the assessments and reporting by the contractor.

• Generation of synergies – certain control measures work to mitigate the risks in a number of areas, thus potentially reducing the costs from duplication of effort and reduced prices from bulk orders of equipment or other items.

• Pan-business solutions that are elegant and simple rather than complex, piecemeal and uncoordinated.

This is a summary guide to the management of risks. Detailed guidance on evaluating and managing specific hazards is provided in the references section.

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There are many different drivers for managing risks in a building or on a site. The three main drivers are life safety, property protection and business continuity. In the UK there are numerous legislative and legal requirements that must be met that are primarily to protect the health, safety and welfare of people working, visiting or living close to non-domestic buildings and sites. By meeting these requirements there are usually additional benefits such as protecting the building itself and equipment inside it, and this may then lead to additional mission and business continuity benefits, as well as improved operational efficiency. There are also actions and procedures that are specific to safeguarding business assets, such as buildings, equipment or software systems, which go further than the life safety requirements of legislation. These requirements are usually driven by corporate governance and the insurance industry and so may be part of a corporate safety plan to reduce the business risk.

This guide aims to provide a holistic overview of the issues to consider and the techniques and information sources available to improve the management of risks in buildings by the building owner and/or user. This should realise benefits from reduced business losses, reduced insurance premiums, improvements in day-to-day operating costs, improvements in staff welfare (reduced absences due to sick leave) and reduced reactive mitigation measures after an incident.

This guide applies to all types of existing non-domestic buildings and premises in the UK from offices, warehouses and industrial/processing sites to transport hubs such as airports and railway stations. The guide covers those risks that can have a major impact on the building or site infrastructure and a significant proportion of its occupants. Due to the wide-ranging nature and use of buildings in the UK, there may be some types of risk that are not covered here, although the general principles for risk assessment will still apply. (Note that risks to occupants from personal ‘accidental’ occurrences such as trips, falls, manual handing and repetitive strain injuries are not covered. Neither are specific risks arising from electrical and mechanical equipment in so far as they affect an individual person, eg electric shock from faulty equipment or trapping hands in moving machinery.)

1 Introduction 1

1 Introduction

Managing risks in existing buildings2

For clarity, this publication defines the commonly used terms of ‘hazard’ and ‘risk’ as follows:

• Hazard – a harmful occurrence to persons, buildings or business.

• Risk – the likelihood that a hazard will occur, which is often given a value in a ‘risk rating’ that is the product of the likelihood that a hazard will occur and the severity or consequences of that hazard should it occur.

An assessment of risk can be qualitative or quantitative depending on the nature of the study, the possible consequences and the legislative framework. For example, a fire risk assessment of a small office may only need to be qualitative whereas the fire risk assessment of a major site storing large volumes of highly flammable liquids (eg top-tier COMAH* site) would need to be quantitative as a fire or explosion could have major life safety and property consequences over a large geographical area both in and around the site, as well as resulting in significant environmental damage. However, a key question is: how should the risk be evaluated by the non-specialist (or even by the specialist)?

As the risk is a product of likelihood and severity (risk = likelihood × severity), the risk value obtained may be greatly affected if one of the values is very large and one very small. The general example below is used to illustrate this concept:

• A virus causes 1000 cases per year, but there is only a 1-in-1000 chance of dying. Therefore, risk = 1 death per year.

• A meteorite strike has a 1-in-1 billion per year chance of hitting the Earth, but will kill 1 billion people. Therefore, risk = 1 death per year.

This shows that the level of frequency and consequence of unwanted events are almost as important as the level of risk in terms of considering appropriate risk management strategies. Risk management decisions can be informed by quantitative predictions of the level of risk. The risk value in any quantified risk assessment should be considered in the context of the method and data used in the analysis.

Table 1 provides a definition of hazard likelihood based on general Health and Safety Executive (HSE) guidance[1] and Table 2 provides a definition of severity based on IEC 61508:2010[2].

* Control of Major Accident Hazards Regulations.

Table 1: Definition of hazard likelihood

Likelihood Definition Expected frequency band (F)/year

Frequent Likely to occur a number of times in a year

F > 10

Likely Likely to occur a few times in a process lifetime

10 > F > 10-1

Occasional Could occur in a process lifetime

10-1 > F > 10-3

Unlikely Unlikely to occur 10-3 > F > 10-5

Remote Highly unlikely, but may exceptionally occur

10-5 > F > 10-7

Incredible Extremely unlikely to ever occur

F < 10-7

Table 2: Definition of severity

Category Definition

Catastrophic Multiple loss of life

Critical Single loss of life

Severe Major injuries to one or more persons

Marginal Minor injuries at worst

Negligible Negligible

2 Hazard and risk

32 Hazard and risk

Once the risks of a particular hazard have been evaluated, the mitigation measures to reduce the risk should be formulated and then actioned. A common technique used where there are a number of potential investment options to reduce the risks is cost-benefit analysis (CBA; Figure 2). The CBA should take into account all relevant costs and benefits so that actions for which the total benefits far exceed the total costs are funded and those for which the costs exceed the benefits are not. However, the CBA tool usually informs rather than makes the decision as each decision is made within its own specific context, which will include a range of non-quantifiable social and related aspects, as well as the purely economic.

CBA is a way to review whether risks are ‘as low as reasonably practicable’ (ALARP), as described by the HSE (www.hse.gov.uk/risk/theory/alarpglance.htm). Its use helps to decide what is acceptable and to develop an understanding of the risk and the possible best solution to reduce the risk to ALARP.

It should be noted that in some cases the risks are so intolerable that the use of ALARP and CBA is not relevant. An example is in the nuclear industry where extremely robust safety cases are required using detailed risk analysis.

The use of ‘good industry practice’ is often the most effective way to address the risks that are common in many industries. Industry trade associations as well as HSE are good sources of information for what is generally acceptable in any particular industry or situation.

A simple semi-quantitative method for evaluating risk could be to use a 5 × 5 matrix as shown in Figure 1 with colour-coded risk values and associated actions. This generic approach may be used for assessing and prioritising different risks and tailored to suit as required.

Risk ratings can be in a number of forms:

• Initial risk rating – based on no control measures in place.• Current risk rating – based on existing control measures and

good industrial practice.• Residual risk rating – based on additional control measures

following the assessment findings.

Figure 1: Semi-quantitative risk matrix and rating/action Note: Beware of low likelihood but high severity.

Risk rating Action

1–4 Record findings, review in 12 months.

5–12 Risk should be reduced where reasonably practicable.

15–25 Stop! Implement additional controls.

Likelihood

Seve

rity

1 2 3 4 5

1 1 2 3 4 5

2 2 4 6 8 10

3 3 6 9 12 15

4 4 8 12 16 20

5 5 10 15 20 25

Figure 2: Illustration of CBA technique

Risk reduction

Medium-risk low-cost option

High-risk high-cost

option

Low-risk medium-cost

option

No action required

Possible best option

Cos

t

www.hse.gov.uk/risk/theory/alarpglance.htm


Health and safety law states that organisations must:

• provide a written health and safety policy (if they employ five or more people)

• assess risks to employees, customers, partners and any other people who could be affected by their activities

• arrange for the effective planning, organisation, control, monitoring and review of preventative and protective measures;

• ensure they have access to competent health and safety advice

• consult employees about their risks at work and current preventative and protective measures.

Failure to comply with these requirements can have serious consequences for both organisations and individuals. Sanctions include fines and imprisonment.

In addition to the above there is the Corporate Manslaughter and Corporate Homicide Act 2007[5], which came into force on 6 April 2008 with legal responsibilities for employers. Under the act, an offence is committed where failings by an organisation’s senior management are a substantial element in any gross breach of the duty of care owed to the organisation’s employees or members of the public that results in death. The maximum penalty is an unlimited fine and the court can additionally make a publicity order requiring the organisation to publish details of its conviction and fine.

Most current health and safety legislation in the UK starts as an EU directive, which then requires each member state of the EU to implement the directive as part of its legislative framework. However, the primary piece of legislation in the UK, the Health and Safety at Work etc Act 1974[3], was enacted prior to any EU directive. This sets out the responsibilities of employers for the health and safety of their employees and others, as well as the responsibilities that employees have to themselves and each other. It covers building design, construction, use, maintenance and deconstruction.

Recent regulations that have been enacted are mostly risk assessment based, such as the Management of Health and Safety at Work Regulations 1999[4]. There are numerous specific regulations that employers are required to comply with for particular risks such as fire, explosion and asbestos. Figure 3 illustrates the legislative framework for risk-based regulations.

3 Current legislative framework

Exam

ples

of l

egis

latio

n th

at

spec

ifica

lly re

quire

s a

risk

asse

ssm

ent

Figure 3: Legislative framework for risk-based regulations

Management of Health and Safety at Work Regulations 1999

Health and Safety at Work etc Act 1974

Regulatory Reform (Fire Safety) Order 2005 Noise at Work Regulations 1989Dangerous Substances and Explosive

Atmospheres Regulations 2002 (DSEAR)

Control of Asbestos Regulations 2012Control of Substances Hazardous to Health Regulations 2002 (COSSH)

53 Current legislative framework

Corporate governanceCorporate governance is the system by which companies are controlled and directed, ie what the board of the company does and the values of the company. The statutory framework under which corporate governance is applied in the UK is the Companies Act 2006[7]. To comply with the act, it is the duty of directors to act in a way that they consider most likely to promote the success of the company for the benefit of its shareholders. In doing so, the directors will need to have regard, where appropriate, for the interests of other stakeholders and the community, and the company’s reputation. Although the act focuses on the financial management of the company, this is underpinned by the risk management of the business as events such as a major fire could have a big impact on the finances of the company and hence affect the short-term – and possibly the longer-term – success of the business.

Non-statutory guidance on corporate governance is published by the Financial Reporting Council (FRC) in the UK Corporate Governance Code[8]. The code consists of general principles and provisions for governance of a company, which include the following advice:

The board should establish formal and transparent arrangements for considering how they should apply the corporate reporting and risk management and internal control principles …

Thus, management of risks to the business is a fundamental part of both statutory and non-statutory compliance with UK regulations and codes of practice.

EnforcementThe majority of risk-based health and safety legislation is enforced by HSE or the local authority. Compliance with the Regulatory Reform (Fire Safety) Order 2005[6] (FSO) is enforced by the fire and rescue service, except on construction sites, where HSE is the enforcing authority.

To meet the requirements of the various regulations, the enforcing authorities can demand to see and will examine risk assessments to ensure that they are suitable and sufficient. They have substantial enforcement powers, ranging from issuing an enforcement notice that requires improvements or changes to be made by a company, to a prohibition notice that will stop specific work practices from being undertaken, which in extreme cases may force a business to stop trading until remedial action is undertaken and controls are in place. Compliance with the legislation in a particular area may not solely rely on a risk assessment being undertaken but, depending on the outcome of the assessment, could also require other measures to be put in place, eg use of suitable warning signs. It is likely that the risk assessment and these other measures will be examined by the enforcement officer.


As well as conducting a risk assessment, the FSO covers general fire precautions and other fire safety duties that are needed to protect persons in case of fire. Responsibility for complying with the FSO rests with the ‘responsible person’, who is defined as the employer and any other person who may have control of any part of the premises. Where there is a multi-tenanted and/or multi-occupancy complex, all responsible persons must take all reasonable steps to cooperate and coordinate their activities with each other.

New buildings or existing premises that have been refurbished or altered, as defined in the relevant building regulations[19, 20, 21, 22], should be designed to satisfy the regulations that address fire precautions, but a fire risk assessment will still be required to comply with the FSO.

Assessment of risksA fire risk assessment is a methodical examination of the buildings, activities and processes being undertaken in order to make a judgement on the likelihood that a fire will start. The scope of the fire risk assessment includes property protection and business continuity. In certain instances and types of building such as warehouses, additional fire safety measures that go beyond the requirements for the protection of life may be necessary to protect the assets. Figure 5 shows the five steps needed to carry out a fire risk assessment.

Different types and uses of buildings will consequently have different hazards and hence different risks. Steps 1, 2 and 3 in Figure 5 will thus be specific to the building being assessed, as will the action plan formulated in Step 4 that acts on the significant findings of the risk assessment, though the general requirement to record and act on the findings in Step 4 and to review the risk assessment in Step 5 are general to all buildings.

Hence, the numbers of people injured from fires in various building types varies greatly. The data from the published UK fire statistics[23] in Figure 6 show the differences in numbers of injuries between different buildings. As a useful comparison, the data also include dwellings.

In this section, a number of specific health and safety hazards are examined in order to provide a broad understanding of the different issues that need to be taken into account when managing different risks. The areas covered here are not exhaustive, but are key areas that affect a large proportion of the building stock as well as potentially large numbers of occupants. Each area is split into the following sub-sections:

1. Summary of regulations2. Assessment of risks3. Management of risks4. Financial implications.

For each of the risk areas described there will be specific technical hazards to address with the necessary technical, operational or management solutions that form the risk assessment, but all follow the same general principles and approach.

FireIn 2012–13 there were 350 fire-related deaths in the UK and many more injuries[9]. In addition to death and injury, fire can lead to substantial property loss and damage, putting livelihoods and businesses at risk. In 2008, the total costs in England alone (casualties, property loss and business interruption) as a consequence of fire were estimated by the Department for Communities and Local Government (DCLG) in its report The economic costs of fire: estimates for 2008[10] to be £3.3 billion (including the cost of the fire and rescue service and human injuries/death), of which £1.5 billion was property damage. On commercial and industrial premises fire can start from a wide range of sources, which may be accidental, due to negligence or from arson attacks. Fires can affect equipment and processes, buildings and transport systems (Figure 4). The impact of fire will very much depend on the level of fire safety systems and management employed, which are usually specified by the information provided in the fire risk assessment. For relatively new buildings, the fire safety systems and management will be detailed in the fire strategy document for the building, particularly if the building was built using fire safety engineering (see, for example, BS 7974:2001[11]) rather than being compliant with Approved Document B to the Building Regulations for England[12] or Wales[13], or the equivalent in Scotland[14] or Northern Ireland[15].

Summary of regulationsIn England and Wales, the 2005 FSO replaced previous fire safety legislation and as such, any fire certificates issued under the Fire Precautions Act 1971[16] ceased to have any effect. A fire risk assessment undertaken under the 1971 act would need to have been updated to take into account the wider scope of the FSO. Scotland[17] and Northern Ireland[18] have their own separate fire safety legislation, which is similar to the FSO and based on conducting a risk assessment of the premises.

4 Analysis of specific hazards

Figure 4: High-rise building fire


Figure 5: The five steps of a fire risk assessment

Step 1: Identify fire hazards in the property Sources of ignition

Sources of fuel

Step 2: Identify people, buildings, businesses at risk

Step 4: Record, plan, instruct, inform, train Record significant findings and action taken

Prepare an emergency plan Inform relevant people, provide instruction, cooperate and coordinate with others

Provide training

Step 5: Review Keep assessment under review

Revise where necessary

Step 3: Evaluate, remove, reduce and protect from risk

Preventative measures:

• Evaluate the risk of a fire occurring• Evaluate the risk to people, property and business

from fire• Remove or reduce fire hazards• Remove or reduce the risks

Protective measures:

• Detection and warning• Passive and active fire protection systems• Fire fighting• Escape routes• Lighting• Signs and notices• Maintenance


There are specific business-sector government guides on fire safety risk assessments to comply with the FSO. They can be downloaded free from the DCLG website (https://www.gov.uk/government/collections/fire-safety-law-and-guidance-documents-for-business).

For simple premises, there is currently no requirement in the FSO for anyone conducting a fire risk assessment to have any formal qualifications or minimal levels of experience. However, it should be borne in mind by the responsible person that the fire risk assessment must be deemed ‘suitable and sufficient’ by the fire and rescue service. If they deem it unacceptable it may need to be revised or undertaken again. It is therefore in the interests of the responsible person that whoever undertakes the fire risk assessment is competent to do so, ie they have sufficient training and experience or knowledge.

In order to improve the standards of fire risk assessments, the fire industry, with representation from DCLG, formed a fire risk assessment competency council tasked with setting the technical criteria for certification bodies to use in providing third-party certification of fire risk assessors. The aim is to raise the standards of fire risk assessments and ensure that those people who will be conducting fire risk assessments have third-party certification. As there is no legislative driver for this to happen, the aim is to ensure that specifiers and building owners are aware that appointing a certified fire risk assessor (or at least someone who can provide evidence of competency) is in their own interests as it reduces the possibility that the fire risk assessment will not be accepted. Ultimately, if a fire were to occur and people harmed, the competency of the risk assessor and technical content of the fire risk assessment report would need to be defended in court.

When occupying a new building for the first time, it is a requirement under the relevant building regulations that the contractor responsible for constructing the building provides the owner with information on all the fire safety features of the building such as detailed in the fire safety strategy, including plans and drawings of specific passive and active systems, eg fire-resisting compartment walls and doors, fire damper locations, sprinkler layouts, emergency exits.

Management of risksAs fire has the capacity to affect large numbers of people, as well as property and the business, large premises should have a senior manager to take overall responsibility for fire safety, with the day-to-day management undertaken by either a specific fire safety manager or adviser, or as part of the overall responsibility of the health and safety manager.

Companies should have a fire safety policy that should set out in writing the following:

• who has responsibility for fire at board level• who is the responsible person for each of the company’s

premises• who has the day-to-day management responsibility for fire.

The day-to-day management duties should include:

• conducting fire risk assessments or arranging for a competent person to conduct them

• formulating an emergency plan for evacuation and contacting the emergency services

• conducting general fire safety training for staff or arranging for a specialist trainer to undertake the training, to include providing clear and relevant information on the risks to staff as identified in the fire risk assessment

• maintaining an inventory and plans showing the location of fire safety systems such as portable extinguishers, detectors and call points, automatic suppression systems, fire doors and fire dampers

• arranging for regular maintenance checks and servicing of fire safety systems such as detection and alarm systems, sprinklers and portable extinguishers

• arranging repairs and replacement for fire safety systems• purchasing third-party-approved fire safety products and

using certificated installers of such products, such as those found in the LPCB Red Book (www.redbooklive.com).

In addition, following the fire risk assessment there should be a plan of action to address all the significant findings, implement any controls and prioritise the actions to ensure that any findings that identify people in immediate danger are dealt with immediately. A review date for the risk assessment should be agreed.

Figure 6: Injuries for different building types[23]

Number of injured people per thousand fires

0 50

Warehouse

Car park

Office (temporary)

Office

Supermarket

Shop (single)

Hotel

Flat (purpose-built)

House (semi-detached)

Hospital

FE college

School

Restaurant

Care home

100 150 200 250

https://www.gov.uk/government/collections/fire

www.redbooklive.com


flammable atmosphere that could be ignited in the presence of a suitable source of ignition. If the flammable atmosphere is contained either in a vessel, tank or building then the pressure generated by the expansion of gases formed during the very rapid combustion process will create a pressure inside the containment causing it to rupture and fail, unless it is specifically designed to withstand the pressures generated. The ignition of uncontained flammable atmospheres will not generate an overpressure but will produce a flash fire or fireball effect from the rapid combustion of the fuel, resulting in injuries or igniting other items in the building and starting a fire. Figure 8 shows the fireball effect from a dust explosion where explosion-relief vents are present to relieve the pressure inside the vessel or building.

Summary of regulationsThe UK regulations on explosive atmospheres implement two European directives called the ‘ATEX directives’. To fulfil the objective of an open market in Europe, the European Community introduced ‘new approach’ directives to remove technical barriers to trade and set out essential safety requirements. The two ATEX directives cover explosive atmospheres both for those who supply equipment to be used in explosive atmospheres and those who create flammable atmospheres during the course of their business. These directives are:

• ATEX Equipment Directive 2014/34/EU[26]

• ATEX 137 User Directive 1999/92/EC[27].

In the UK, the hazards arising from potentially flammable atmospheres are covered by two pieces of legislation that implement the above two directives:

• The Equipment and Protective Systems Intended for Use in Potentially Explosive Atmospheres Regulations 1996[28] (EPS) implements the ATEX Equipment Directive and focuses on equipment being manufactured to suitable safety standards, based on the nature of the flammable atmosphere and its duration in the area where the equipment is located.

• The Dangerous Substances and Explosive Atmospheres Regulations 2002[29] (DSEAR) implements the ATEX 137 User Directive and sets out minimum requirements for the protection of workers from fire/explosion risks arising from dangerous substances and potentially explosive atmospheres.

Financial implicationsManaging fire risks to buildings is not only a legal requirement in terms of life safety, but also provides clear benefits to a business in terms of: reducing the subsequent costs from the result of a fire, such as restoration of the building (Figure 7); replacing contents (materials and equipment); staff being on sick leave if involved in the fire; possible increased insurance premiums; and fines/legal costs from potential court cases. In addition, there is the public perception of the business, often influenced by the media coverage, which may also adversely affect the business. This will all have an impact on the business and therefore could affect business continuity.

Government figures[24] show that in the year ended 31 March 2008 there were 77,000 building fires. In that year a total of £1.3 billion was paid out by insurers in the UK for fire losses, which was a record. Of this total, commercial fire damage cost £865 million, with the average cost of a claim during the period 2002–2008 being £21,000 for commercial fires[25]. Additionally, costs for business interruption following a fire resulted in insurance claims overall of £200 million. For example, during the August 2011 riots in England the stock warehouse and distribution centre of Sony was destroyed by fire with more than 1.5 million CDs having to be re-made. The cost of the property loss alone was reported to be in excess of £30 million.

As will be demonstrated in the other sections of this guide, by undertaking a coordinated risk assessment to include other risks as well as fire, not only will statutory requirements be fulfilled but there will be financial benefits by reducing the costs to a business from a number of risks in the most cost-effective manner.

ExplosionThis section covers the explosion risks arising from potentially flammable atmospheres formed by gases, vapours, dusts and mists. It does not cover explosives such as plastic explosives, fireworks or explosive materials such as those used to produce armaments. There are also other high-pressure systems present in buildings, such as steam boilers and compressed gas systems, and these are also not covered specifically in this report but should be considered in assessing the overall risks.

Most sites undertaking industrial processing and research will use or produce materials that could potentially form a

Figure 7: Damage following a basement car park fire Figure 8: Vented dust explosion from 40 m3 chamber


zoning for all areas where there is the potential for a flammable atmosphere to be present. It is required before commencing any new work activity involving dangerous substances and also for existing activities if one has not been undertaken. Its purpose is to enable employers to identify hazards, assess the risks and then decide what is required to eliminate or reduce those risks to an acceptable level. The enforcing authority for DSEAR is HSE.

The risk assessment needs to follow the same five-step principle as illustrated in Figure 5 and is a ‘live’ document that must be kept up to date when significant changes are made to the process or management systems. Some examples of substances that can give rise to flammable atmospheres are provided in Table 3.

In order to form a flammable atmosphere, not only must the substance itself be flammable and present in an atmosphere with sufficient oxygen, but it must be at a sufficiently high concentration to be ignited. Gases, vapours and mists have lower and upper explosive limits (LEL and UEL) that indicate the concentration range over which it is possible to ignite the gas or vapour cloud. For example, methane has limits of 5–15% by volume. This information is important when assessing the likelihood that a flammable atmosphere will form.

Another important consideration is the gas or vapour density. If lighter than air, the flammable atmosphere will tend to form at a high level; if denser than air, which most vapours are, then the gas or vapour will tend to form a layer along the floor. Again, this information is important to the assessor in determining where the gas or vapour cloud will form and the likelihood of ignition.

As well as the wide range of substances that can potentially form a flammable atmosphere, there are also many potential sources of ignition. Some examples of typical ignition sources are given below; not all are able to ignite all flammable atmospheres. For example, some dust clouds will be susceptible to ignition from electrostatic discharges, some will not.

Examples of ignition sources:

• naked flames• hot surfaces• spontaneous ignition (self-heating) producing glowing

embers or flames• welding or cutting operations• friction-generated heating or sparks• impact sparks• electric sparks• electrostatic discharges.

Although we will be focusing on the requirements of DSEAR as this legislation directly affects the management of explosion risks in the building and premises, the requirement for equipment and systems under EPS has a direct influence on the risk from an explosion and thus is linked to compliance with DSEAR.

Assessment of risksDSEAR applies wherever:

• a dangerous substance is present or liable to be present in a workplace

• the substance presents a risk to the safety of persons (not health).

In the context of the regulations, the term ‘dangerous substances’ means anything with the potential to create a risk to persons from:

• fires• explosions• thermal runaway from exothermic reactions• self-heating (spontaneous combustion).

‘Workplace’ means any premises where a work activity is carried out.

A key point to note is that it is not only the property of the substance that needs to be assessed but also how it is being used/processed. Certain substances may be flammable but in the context of their use on the premises they may not form an explosive atmosphere and thus would not come under DSEAR (but would need to be addressed in the fire risk assessment in compliance with the FSO).

The regulations place duties on employers to assess and control the risks from dangerous substances. In addition to their own employees, this duty extends to:

• contractors working on site• visitors• members of the public.

The duty does not extend to provision of training unless the above persons are on the employer’s premises and the risks are such that induction safety training or awareness is required prior to entering the site or conducting certain types of work.

In complying with DSEAR, the key requirement is to conduct a risk assessment coupled with undertaking hazardous area

Table 3: Examples of substances that can form flammable atmospheres

Gases Vapours Dusts Mists

MethaneHydrogenAcetyleneLPG (propane, butane)BiogasLandfill gasAmmonia

Petrol Diesel (if heated)HexaneHeptaneSolvent vapours, in particular those with low flashpoint temperatures (eg acetone, methyl ethyl ketone)AdhesivesPaints and thinners (solvent based)

Metal powders (eg aluminium, magnesium)Foodstuffs (eg flour, custard powder, coffee, sugar)Pharmaceutical powdersChemicalsNatural products (eg sawdust, dried sewage sludge)

AerosolsHydraulic oils under pressure


organisational and explosion-prevention measures to be taken is determined by this classification along with the findings of the risk assessment. The hazardous area zoning helps in the assessment of the likelihood that an explosion may occur as it determines how often and for how long an explosive atmosphere may be present. Gases and dust atmospheres are categorised into groups as given in Table 4.

Once areas have been designated as hazardous and allocated a zone, all the entrances to that area must be marked with the sign shown in Figure 9.

It is important that the allocation of the correct zone and the extent of the zone is undertaken realistically as it has a significant impact on the equipment that can be used inside the zones. Only correctly certified electrical and mechanical equipment can be used within the hazardous zones. Equipment and systems must meet the requirements of EPS.

The equipment must be suitable for gases or dusts as appropriate and is split into three categories based on the safety systems used by the manufacturers to protect the equipment from becoming a source of ignition. Category 1 equipment has the highest level of safety built into it, followed by category 2 and then category 3. The relationship between the different categories and the hazard zones is given in Table 5.

A standardised marking scheme is used to identify suitable equipment. Equipment that has been certified as being suitable to use in explosive atmospheres must be labelled with the symbol shown in Figure 10.

Obtaining information on the ignition sensitivity of substances to different ignition sources is a key part of the risk assessment and may be available in the published literature, material safety data sheets or can be determined by testing. Dust in particular should be tested as its explosive properties are influenced greatly by the particle size distribution of the powder and the moisture content.

In evaluating and managing the risks of an explosion, the existing prevention and protection methods will need to be assessed. The basis of safety in the areas where there is the potential to form a flammable atmosphere needs to be established. This is usually based on prevention of the formation of the flammable atmosphere and the exclusion of ignition sources. Some industries may use the exclusion or reduction of oxygen as the basis of safety by using inert gases such as nitrogen, carbon dioxide or steam to keep the oxygen concentration below that required for an ignition.

Examples of control methods used to prevent the formation of an explosive atmosphere include:

• reducing quantities of dangerous substances to a minimum• using techniques that prevent or limit the formation of gas/

dust clouds• collecting and removing to a safe place (eg local exhaust

ventilation)• keeping incompatible substances apart so they do not react

to form flammable gases or vapours.

From all the gathered information an evaluation must be undertaken on all the operations and areas, to enable those work activities where there is a risk of explosion to be identified.

A range of techniques can be used to protect against the effects of an explosion, should the risk assessment indicate that protection measures are necessary. Where the risk is unacceptable, mitigation measures are required by DSEAR and could include:

• reducing the numbers of employees exposed• installing explosion-relief vents• providing plant that is explosion resistant• providing explosion-suppression systems• providing explosion-isolation devices.

Hazardous area zoning

Zoning is a key requirement in the management of the risks from flammable and explosive atmospheres. This is an exercise in which the places where explosive atmospheres may occur are classed in terms of zones on the basis of the frequency and duration of the occurrence of the atmosphere. The extent of the

Table 4: Hazardous area zoning

Description Gas zone Dust zone

Explosive atmosphere is present continuously or for long periods or frequently 0 20

Explosive atmosphere is likely to occur in normal operation occasionally 1 21

Explosive atmosphere is not likely to occur in normal operation; if it does occur, it will persist for a short time only

2 22

Table 5: Equipment categories

Gas zone Dust zone Category of equipment that may be used

0 20 1

1 21 1 or 2

2 22 1, 2 or 3

Ex

Figure 9: ATEX sign denoting explosive atmosphere

Figure 10: ATEX sign denoting equipment suitable for use in explosive atmospheres


It is possible to calculate the overpressures that may be generated versus distance from the seat of the explosion, or for vented dust explosions from the explosion vent, together with the flame length and width of the fireball and hence determine what risk mitigation measures are required.

Financial implications Effective management of the risks from explosions not only reduces property loss but is essential for the safety of personnel in the building or on the site and is a legal requirement. By controlling the formation of an explosive atmosphere in a process or building it is possible to reduce the type and extent of the hazardous zone required. This has a direct financial impact as the more hazardous the zone, the more expensive is the ATEX-certified equipment that is required in that zone. Equipment required for a zone 0 area is considerably more expensive than for a zone 2 area. Hence, by reducing the formation of the flammable atmosphere at source, there are direct financial savings to be made. The cost of an explosion-protection system used to reduce the risks also varies enormously depending on the system chosen and hence a good risk assessment should be able to identify those areas where explosion-prevention measures can be used to adequately to control the risks without the need for expensive protection.

The consequential loss of process equipment, storage vessels or buildings resulting from an explosion will have a direct major financial impact on the business affecting the short-term, and possibly the longer-term, operation of the company. Indirect costs may also accrue from increased insurance premiums and any resulting litigation action.

The cost of dealing with the Buncefield explosion incident in 2005 has been estimated at more than £1 billion, making it the most costly industrial incident in the UK.

There are real benefits in undertaking a coordinated risk assessment to include fire (and possibly other hazards as described in this report) with the explosion risk assessment. Having one person or company, such as BRE Global, undertake both assessments will not only ensure compliance with the legislation but will also reduce the time and cost in finding separate suppliers and in undertaking the work.

Management of risksThere are a number of requirements in the DSEAR legislation that contribute to the management of the risks from explosion. These include:

• Identification and labelling of vessels and pipes that contain dangerous substances and flammable atmospheres.

• Duty of coordination for sites. Where workers from several undertakings are present at the same place, each employer is responsible for all matters coming under his/her control. The employer has to coordinate and record the implementation of all safety measures.

• Accidents, incidents and emergencies. Appropriate emergency arrangements are required to safeguard people on the premises. Such measures may include: – evacuation procedures – first aid cover – safety drills – visual/audible alarms – escape facilities – measures to control or contain an incident.

• Information, instruction and training. Sufficient and appropriate training should be given to staff. The level will depend on the nature of the work and substances involved. It should be pitched at an appropriate level for the experience, knowledge and seniority of employees and should include elements of theory as well as practice.

A workplace in use for the first time must meet the requirements from the time it comes into use. A workplace in use but modified must meet the requirements from the time of the modification. Before coming into use for the first time, areas need to be verified as being safe by a competent person. The definition from the HSE Approved Code of Practice and Guidance L138[30] is:

… whoever is selected must have sufficient practical and theoretical knowledge from actual experience and/or professional training relevant to the particular workplace …

Accidental external explosions

In addition to the consideration of internal explosions within a building, the possibility of accidental external gas or dust explosions should be considered. Such events are rare but if substantial overpressures are generated they can cause severe damage to buildings. The incidents that may create this type of accidental loading on a building include events such as vapour cloud explosions (VCEs), boiling liquid expanding vapour explosions (BLEVEs) and vented dust explosions. Figure 11 shows typical large-volume containers used to store highly flammable liquids that could potentially be at risk of VCEs or BLEVEs if appropriate safety systems are not present or not operational.

These incidents might be expected to originate from leakage of vapour or other products from chemical manufacturing or storage sites or as a result of poorly sited explosion venting systems located too close to other buildings. (An example of such an incident in the UK was the explosion that occurred at the Buncefield fuel depot located on the outskirts of Hemel Hempstead, Hertfordshire, in 2005. It caused a considerable degree of devastation to the site and in the area surrounding the depot for a number of miles.)

Figure 11: Typical large-volume containers used to store highly flammable liquids


Assessment of risksThe duty holders (who can be building owners, facilities managers, tenants and others who have legal responsibilities for premises) have a specific requirement to assess the risk from these materials by:

• taking reasonable steps to find asbestos on the premises • assessing the condition of these materials • presuming that materials do contain asbestos unless there is

strong evidence that they do not • preparing a record of the location and condition of these

materials.

There are three stages to go through in assessing the risks and then a further two stages in managing the risks (see below).

Stage 1: Delegating the work

The duty holder of the premises can choose to delegate all or part of the work in complying with the regulations but they cannot delegate the responsibility. Anyone appointed to undertake the work will need to:

• be suitably competent and have sufficient training• be able to show independence, impartiality and integrity• have a suitable quality management system• be competent to carry out any surveys following HSG264

for the surveying, sampling and assessment of asbestos-containing materials[32].

Demonstration of the above may be by having third-party certification to conduct the work by a certification body that is accredited by the United Kingdom Accreditation Service (UKAS).

Stage 2: Finding and assessing the condition of asbestos-containing materials

To enable the duty holder to effectively manage the risks from asbestos, an assessment needs to be conducted to determine if asbestos is present and its condition. HSG264 provides detailed guidance on what to look for and how to conduct the survey to assist in choosing a suitable contractor. As much information on the buildings and plant on the premises as possible will need to be systematically examined prior to a thorough investigation of the buildings, both inside and outside. If, during the survey, any material is found that is suspected to contain asbestos, it should be treated as if it does asbestos until proven otherwise. Information on all materials identified should be recorded and/or marked on a drawing to include where the asbestos is located, the extent of the asbestos material, what condition it is in, what form it is in (eg cement sheets, tiles, boards) and what it looks like.

The records and/or drawings must be reviewed and kept up to date when any changes occur that affect the risks, such as building works that have been undertaken or removal of the asbestos.

Stage 3: Determining the risk

The record of all the asbestos-containing materials in the building is initially used to start the process of assessing the risks and then subsequently managing them. For asbestos to pose a risk to persons the fibres must be disturbed and inhaled and hence the first step is to make a judgement on how likely the asbestos is to be disturbed in each location. Processes where this could occur are maintenance work, repair work, building

Asbestos Asbestos is a naturally occurring mineral with a crystalline structure composed of long thin fibres (Figure 12). It is classified into two separate groups, serpentine and amphibole, which contain different types of asbestos. White asbestos is the only type in the serpentine group, whereas there are five types in the amphibole group, of which the most common are brown and blue asbestos. Exposure to amphibole asbestos presents a greater health hazard than serpentine, but all types can cause asbestos-related diseases.

Asbestos is a virtually indestructible material with great versatility and hence was put to many uses over the years in buildings. Asbestos in all forms has been widely used since the turn of the last century. It was used to lag railway carriages, pipework and boilers; it was used to make ceiling tiles and insulating wall boards, decorative coatings and floor tiles; and it was applied by spraying, hand moulding, in preformed sections and bound with other materials such as in asbestos cement.

Although much asbestos-containing material has been removed over the years, there are many thousands of tonnes of asbestos still present in buildings. It is estimated that over 1.5 million workplace properties currently have some form of asbestos in them.

The uncontrolled disturbance of any asbestos-containing materials may be dangerous to the health of building users and those responsible for the disturbance, due to the fibres becoming lodged inside the body if they are breathed in, potentially penetrating lung tissue and triggering cancers. Approximately 4000 people a year die from asbestos-related diseases in the UK.

Summary of regulationsThe key piece of legislation on managing asbestos is the Control of Asbestos Regulations 2012[31]. The management of asbestos in non-domestic premises is covered in Regulation 4 (Duty to manage asbestos in non-domestic premises) and requires building owners or other duty holders who have responsibility for the building to undertake specific duties to manage the risk.

In addition to the requirement to manage risks, the Control of Asbestos Regulations 2012 also require that employers:

• undertake risk assessments before commencing work that exposes, or is liable to expose, employees to asbestos

• produce a plan of work detailing how the work is to be carried out

• either prevent exposure to asbestos or reduce it to ALARP.

Figure 12: Asbestos fibres


The latest HSE figures for diseases associated with occupational exposure to asbestos many years ago are summarised in Table 6. Although the table has no financial figures, it illustrates the size of the problem and the potential financial implications on a business from compensation claims of current and past employees and their families.

As an example of the costs incurred from asbestos, one local council is considering a move away from its headquarters to avoid escalating costs of asbestos removal. The council had to pay £70,000 to get rid of asbestos discovered during alterations to an office. The work uncovered broken and damaged asbestos insulation in the ceiling, as well as in the doors and walls. The council’s asbestos team recommended all the fixtures contaminated with the amosite (brown) asbestos be completely removed, at a cost of tens of thousands of pounds. The council had already recently paid £152,000 to get rid of asbestos from another block of the civic centre.

Cost savings can be realised by having other risks as well as asbestos assessed in one coordinated approach by a suitably competent company. This will ensure that statutory obligations are met in the most efficient manner.

LegionellaLegionnaires’ disease is a potentially fatal form of pneumonia caused by the legionella (Legionella pneumophila) bacteria (Figure 13). It can affect anybody, but principally affects those who are susceptible because of age, illness, immunosuppression or smoking. The legionella bacteria can also cause less serious illnesses, which, though not fatal, can be permanently debilitating. ‘Legionellosis’ is the collective term used to cover the group of diseases caused by the legionella bacteria.

Legionnaires’ disease is normally contracted by inhaling legionella bacteria, either in the form of tiny droplets of water (aerosols) or in droplet nuclei (the particles left after the water has evaporated) contaminated with legionella, deep into the lungs.

Areas in buildings and on premises that are susceptible to the problem are cooling tower systems and hot and cold water systems in large premises such as factories, hotels and hospitals.

refurbishments and deconstruction. Materials that are already damaged or deteriorated will present a greater risk, as will those materials that are located in areas where they are likely to be disturbed in the course of planned and routine work, are easily accessible or may be subject to vandalism. Areas that are poorly ventilated or are confined spaces and where the asbestos is likely to be disturbed will be of higher risk.

Assessing the risk will help to decide what to do and which material should have the highest priority for action (eg repair, sealing, removal or leaving in place and monitoring the condition).

Management of risksThe duty to manage asbestos requires the preparation of a plan on how the building owner/manager intends to manage the risks from asbestos on the premises, which should be informed by the assessment of the potential risks based on the information gathered and survey results on the amount, location and condition of the asbestos. The ultimate aim is to make sure as far as reasonably practicable that no one can be harmed by asbestos in the building.

Whether the asbestos should be removed or left in place is very much influenced by its condition and accessibility. If it is in good condition and unlikely to be damaged or disturbed, the best option is to leave it where it is. Material that is in poor condition, or likely to be damaged or disturbed, will need action to mitigate the risk. Specialist contractors may need to be consulted on the best course of action for a particular situation. Possible options to consider are:

• repair• seal• remove• leave in place.

If it is decided to leave it in place, there must be a record of where it is present and its condition must be monitored regularly. Labelling of the asbestos must be undertaken (to comply with the Management of Health and Safety at Work Regulations 1999) so people are aware of its presence.

An asbestos register must be compiled for the premises from the survey and information-gathering exercise and this must be made available to anyone likely to be undertaking work in areas where there is asbestos. This register must be available to the emergency services, in particular the fire and rescue service, so they can take appropriate action.

Regulation 10 (Information, instruction and training) of the Control of Asbestos Regulations 2012 requires that suitable training is given for anyone who is or may be exposed to asbestos so they are aware of the hazards. The level of the training for the vast majority of personnel in a building will be awareness only. Staff undertaking site maintenance and repair work will need more detailed and specific training.

Financial implicationsAlthough exposure to asbestos fibres can directly affect the health of staff working in a building, there are also financial consequences to the business of ineffective management. This could be due to having to cover staff absences (which may not always be possible by utilising existing staff but could result in having to pay for temporary agency staff), possible closure of part or all of a building (resulting in loss of production or temporary accommodation costs), increased insurance costs or potential litigation from HSE or employees exposed to the asbestos.

Table 6: Asbestos-related diseases

Diseases Cases/deaths

Deaths from mesothelioma (2009) 2321

Estimated asbestos-related lung cancer deaths

2000*

Deaths from asbestosis without mention of mesothelioma (2009)

411

Newly assessed cases of asbestosis 1015

Newly assessed cases of diffuse pleural thickening

505

Cases of non-malignant pleural disease reported to specialist physicians

778

* This figure has been rounded because it is an estimate rather than the number of actual deaths.


legionella bacteria. Examples of such areas where legionella could be present are:

• water systems incorporating a cooling tower• water systems incorporating an evaporative condenser• hot and cold water systems, in particular where there are

long pipe runs and dead-ends in the pipework• other plant and systems containing water that is likely to

exceed 20°C and may release a spray or aerosol during operation or when being maintained, eg showers.

Not all of the systems listed above would necessarily require an elaborate risk assessment and control measures. A simple risk assessment may show that the risks are low and hence no further action would be necessary. However, the assessment must be suitable and sufficient in order to identify and assess the risk of exposure to legionella bacteria from work activities and water systems on the premises and to specify necessary precautionary measures.

In order for the potential circumstances for a problem to occur, a number of factors are necessary. These should be covered in the risk assessment, and include:

• the presence of legionella bacteria • conditions suitable for multiplication of the organisms, eg

suitable temperatures and a source of nutrients• a means of creating and disseminating breathable droplets • the presence of people who may be exposed, especially in

premises where occupants are particularly vulnerable such as hospitals.

On larger premises a site survey should be carried out to record and register associated plant items that are relevant, eg pumps and tanks, with marked-up drawings or schematics showing the layout of the system. A decision will then be required on which equipment may pose a risk.

Factors that should be considered when carrying out the assessment are:

• system supply water source, eg mains supply or not• possible sources of contamination of the supply water

within the premises before it reaches the system, using water that may present a risk of exposure to legionella bacteria

• the normal plant operating characteristics• unusual but reasonably foreseeable operating conditions,

eg breakdowns.

The risk assessment will also need to:

• specify the extent to which sampling should take place • present the results in such a way that is meaningful to

both the installation and the effect upon the risk groups identified

• provide recommendations for action and timescales for implementation.

Management of risksFor those areas that have been identified as having the legionella bacteria or assessed as being at high risk, it is then necessary to avoid the use of the water systems identified. If this is not practicable there should be a written plan to implement ongoing controls to mitigate the risks identified. One way of doing this is in the form of a legionella management plan. This plan would specify ongoing and regular/routine tasks that need to be conducted to mitigate the risks identified in the risk assessment and could include the following:

In the UK there are approximately 200–250 reported cases of legionnaires’ disease each year, though the total number of cases of the disease may be generally underestimated. About half the reported cases are a result of travel abroad. Infections that originate in the UK are often sporadic with the source of infection not being traced.

Summary of regulationsThere is no specific legislation covering legionella. However, the following legislation covers the requirements to manage the risk from legionella:

• Health and Safety at Work etc Act 1974[3]

• Management of Health and Safety at Work Regulations 1999[4]

• Control of Substances Hazardous to Health Regulations 2002[33] (COSSH)

• Approved Document G to the Building Regulations for England[34] or Wales[35], or the equivalent in Scotland[36] or Northern Ireland[37]

• Approved Document L to the Building Regulations for England[38] or Wales[39], or the equivalent in Scotland[40] or Northern Ireland[41]

• Notification of Cooling Towers and Evaporative Condensers Regulations 1992[42].

Risks from legionella bacteria are covered under the general duties described in the Health and Safety at Work etc Act 1974. The Management of Health and Safety at Work Regulations 1999 provide a broad framework for managing health and safety in the workplace, requiring risk assessments to be undertaken and employers to have access to competent help, to establish procedures to be followed by workers if situations presenting serious and imminent danger were to arise and for cooperation and coordination where two or more employers or self-employed persons share a workplace. In addition, COSHH also requires the control of risk from a range of hazardous substances including biological agents such as legionella. HSE has published an approved code of practice to assist in the management of legionella[43].

Assessment of risksAn initial assessment should be undertaken to determine where there could be a reasonably foreseeable risk of exposure to

Figure 13: Legionella (Legionella pneumophila) bacteria


been assessed in. The matrix is available on the LCA website and provides useful information for the duty holder on the specific areas to be covered in compliance with the legislation. This will enable them to minimise the risk from legionella and assist them in managing the risks and in choosing a suitable service provider.

Financial implicationsAs well as protecting the health of employees, good management of the risks can also reduce the financial risks from closure of systems or parts of a building that could have a direct impact on the day-to-day operation of the business. In addition, effective management can reduce the potential costs from defending a HSE prosecution and increased insurance premiums.

In June 2011, two firms were found guilty over legionella offences. Fines and costs totalling nearly £250,000 were imposed after workers and members of the public were put at risk of exposure to the potentially fatal waterborne legionella bacteria. HSE prosecuted a multinational automotive parts manufacturer and a water treatment services provider under the Health and Safety at Work Act etc 1974. One had failed to properly manage the water cooling systems used in manufacturing processes at its plant and the other company, which had been contracted to provide water treatment services, was also found to have failed significantly in its duties. HSE found there was no comprehensive or up-to-date risk assessments in place and neither company had taken reasonable steps to control the potential spread of legionella by assessing the risk or properly cleaning and maintaining the water cooling system. Employees had not been properly supervised. The management failings by both companies were present over a prolonged period of time.

A good way of ensuring value for money in meeting the requirements of legislation if a number of other hazards are present in the building that needs risk assessments, such as those described in this report, is to have all or a number of them assessed together by one person or company. However, the competency of such suppliers to provide risk assessments in a number of different areas would need to be verified.

RadonRadon is a naturally occurring, odourless, colourless, radioactive gas that is found in all buildings. It is formed by the radioactive decay of the small amounts of uranium that occur naturally in all rocks and soils. The gas can move through cracks and fissures in the subsoil and eventually to the atmosphere. Most of the radon will disperse harmlessly into the outdoor air but some will pass from the ground and collect in spaces under or within buildings (Figure 14), which is then breathed in.

Some buildings in certain defined areas of the UK tend to have higher concentrations due to local geology. In the UK, south-west England is of principal concern, but high concentrations of radon are also found in many other areas of the country. For further information on affected areas, maps are available from the Public Health England (PHE) website (www.ukradon.org). Radon is the largest source of public radiation exposure and is the second biggest cause of lung cancer after smoking, with around 1100 deaths annually. For properties where elevated radon levels are measured, PHE recommends that minor building works are carried out to reduce occupants’ radon exposure.

• regular flushing of infrequently used services• periodic temperature monitoring or sampling of little-used

outlets • descaling, cleaning and disinfection of systems and tanks • annual or six-monthly tank inspections• awareness training• bacteria-control equipment installation/management.

Parts of the water systems that are currently out of use, due to the level of risk they present, should be identified on plan drawings or schematics. Correct and safe operating parameters for the systems must be detailed and appropriate staff provided with the information. The assessment needs to be reviewed regularly and whenever there is reason to believe that the original assessment may no longer be valid.

An important aspect of managing the risk is to ensure that those undertaking the risk assessment have the necessary competency to do the work. As well as having the technical qualifications and experience, the assessor must also be given the information and resources to conduct the work. The basic knowledge that the duty holder must be satisfied they possess would include:

• the potential sources and the risks they present• measures to be adopted, including precautions to be

taken for the protection of people concerned, and their significance

• measures to be taken to ensure that controls remain effective.

Appropriate records have to be kept and should include details of:

• the person(s) responsible for undertaking the risk assessment, managing and implementing the management plan

• the significant findings of the risk assessment• the written management plan and details of its

implementation• the results of any monitoring, inspection, test or check

carried out, and the dates, including details of the state of operation of the system.

Records should be retained for at least two years after the period for which they remain current and five years for the results of monitoring, tests and checks.

Code of Conduct for Service Providers

To assist the duty holder in judging the competency of a service provider, the Legionella Control Association (LCA) runs the Code of Conduct for Service Providers. This was put together by a working party drawn from the British Association for Chemical Specialities (BACS) and the Water Management Society (WMSoc) in close consultation with HSE and is referred to in the HSE code of practice. The Code of Conduct for Service Providers aims to improve the standards in the minimisation of legionnaires’ disease by requiring the service provider who signs up to the code to commit to service-level agreements covering allocation of responsibilities, training and competence of personnel, control measures, communication and management systems, record keeping and reviews. Registered companies are monitored to ensure compliance with the code.

As part of the LCA audit process for service providers signed up to the code, a knowledge matrix is used as a guide to the topics personnel should have an understanding of and have

www.ukradon.org


Assessment of risksThe action level has been set for workplaces at a level of 400 Bq/m3. As the air temperature inside a building is higher than outside, the density difference results in air pressure being lower at ground level indoors than outdoors and thus causes the gas to be drawn into the building through gaps and cracks in the building structure in contact with the ground.

For existing buildings, risk assessment for radon should be carried out in relation to:

• all below-ground occupied workplaces in the UK (average > 1 hour per week or containing an open water source)

• all above-ground workplaces located in radon-affected areas.

The starting point for undertaking the risk assessment should be to undertake a radon survey in regularly occupied spaces within a building in a radon-affected area or a basement anywhere in the UK. Small passive detectors can be used and left in the room of interest. Measurements are usually made over a three-month period as levels can vary through the day and from season to season.

In the majority of premises, the radon measurements are likely to be below the action level of 400 Bq/m3 and in these cases no further action is necessary other than to decide when a further review is to be conducted. For those buildings where the measured levels are greater than the action level, steps need to be taken to manage the exposure. A radiation protection adviser should be engaged to advise on the control of exposure by suitable engineering of remedial methods.

The rate of generation of radon is very low in most cases, although it varies with different soils as some have more uranium and radium content than others.

Summary of regulationsThere are no specific regulations covering radon in the UK, but under the Health and Safety at Work etc Act 1974 employers have an obligation, as far as reasonably practicable, to ensure the health and safety of their employees and others having access to their site. To comply with the Management of Health and Safety at Work Regulations 1999, a risk assessment must be conducted for all health and safety risks. This should include radon if the premises are located in a radon-affected area or if the workplace is located within a basement anywhere in the UK. A radon map is available from the Health Protection Agency showing radon-affected areas in the UK and also a more detailed online radon dataset can be used for buildings and premises (www.ukradon.org).

For buildings where radon is present above the action level† of 400 Bq/m3 the Ionising Radiations Regulations 1999[44] take effect and employers are required to take action to restrict exposure.

For the case of new buildings and extensions, Approved Document C to the Building Regulations for England[45] or Wales[46], or the equivalent in Scotland[47] or Northern Ireland[48], supported by BRE BR 211[49], require that in radon-affected areas protective measures are installed during construction. Radon should also be included with a project’s CDM manual to comply with the Construction (Design and Management) Regulations 2015[50].

† Radon is measured in becquerels per cubic metre (Bq/m3). The ‘action level’ is the level above which action should be taken to reduce or manage radon levels.

Figure 14: Routes by which radon enters a building

1. Through cracks in walls2. Through cracks in solid floors3. Through cracks in walls below ground4. Through cracks in timber floors5. Through cavities in walls6. Through construction joints7. Through gaps around service pipes8. Through cracks in service ducts9. Through construction joints

1

2

35

4

67

8

9

www.ukradon.org


The work required to manage the risks from radon have close synergies with the management of ingress of contaminants into buildings such as landfill gas from contaminated land (see ‘Contaminated land’ section below). Hence, if the property has been constructed on a brownfield site, to minimise the financial costs it may be useful to have a combined risk assessment to cover ground contaminants as well as radon.

NoiseExcessive noise in the workplace can cause hearing loss or a permanent sensation of ringing in the ears, known as ‘tinnitus’, which can lead to disturbed sleep. Around 17,000 people in the UK suffer deafness, ringing in the ears or other ear conditions caused by excessive noise at work.

Noise-induced hearing loss is often a gradual process because of prolonged exposure to noise and is generally as a result of damage to the sensitive hair cells inside the inner ear or damage to the auditory nerve. Hearing damage can also be caused immediately by sudden, extremely loud noises, eg from use of explosives, guns or cartridge-operated machines. Noise-induced hearing loss should not be confused with presbycusis (age-related hearing loss), which occurs naturally over time. Noise-induced hearing loss is generally permanent.

Summary of regulationsThe Control of Noise at Work Regulations 2005[53] are based on EU directives requiring similar basic laws throughout the EU on protecting workers from the health risks caused by noise. The regulations only apply to places of work. The noise that someone makes in their own home, or that they choose to experience as part of a leisure activity, would not be covered. Noise nuisance, where someone else is annoyed by noise, is covered by different legislation. The regulations require action to be taken by employers to protect workers from excessive noise exposure in the workplace. To do this, employers must assess and identify measures to eliminate or reduce risks from exposure to noise.

Specifically, the regulations require an employer to:

• assess the risks to employees from noise at work• reduce the noise exposure that produces those risks• provide employees with hearing protection if the noise

exposure cannot be reduced enough by using other methods

• make sure the legal limits on noise exposure are not exceeded

• provide employees with information, instruction and training

• carry out health surveillance where there is a risk to health.

Noise is defined as unwanted sound. It is measured in decibels (dB). Within the context of the regulations, A-weighted decibels, dB(A), are used to express the average sound pressure levels over a period of time such as an hour, day or week. For impulsive or explosive noises the regulations require the C-weighted peak sound pressure level to be measured in dB(C). A and C weightings represent the way the human ear responds to sounds of differing loudness and frequency. The decibel scale is a logarithmic scale and so what may seem to be a small increase of 3 dB is actually a doubling of the sound pressure level. As a result, even relatively small decibel increases in sound can significantly increase the risk of damage to hearing.

Management of risksA number of practical measures can be used to prevent radon entering a building. For new buildings under construction, basic radon protection is in the form of a radon-proof barrier installed across the full footprint of the building. The barrier is installed within the floor structure and is linked to a modified damp-proof course in the form of a cavity tray through the walls to prevent radon entering via wall cavities.

If the radon presence is severe, full radon protection is required in which the radon-proof membrane is supplemented by the provision of ventilated sub-floor voids or a stand-by radon sump beneath the floor. The sump can be activated later, should it prove necessary, by fitting an electric fan to draw radon from beneath the floor and vent it to outside. Traditional suspended timber floors are discouraged in radon-affected areas for new buildings, unless additional protection is provided.

For existing buildings, alternative solutions are required that can involve improved underfloor ventilation and general indoor ventilation of the building, sealing of gaps where the building is in contact with the ground (eg around service pipes), positive pressure ventilation and use of sumps. After installation of the remedial measures the radon levels should be re-measured. Care needs to be used in employing building ventilation as in some circumstances it can increase the concentration level of radon. More details can be found in BRE FB 41[51] and in BRE GG 75[52].

The risk assessment will need to be reviewed and radon measurements taken at suitable intervals. Influencing factors will be the severity of the radon problem and significant changes made to the fabric of a building and work processes being undertaken. The radon protection adviser should be able to assist in helping the building owner to decide on the re-assessment interval. However, HSE suggests the following:

i. where radon levels were found to be significantly less than 400 Bq/m3 at the initial measurement, the period of re-measurement might be of the order of once every 10 years

ii. where radon levels were just below 400 Bq/m3 at the initial measurement, the suggested period for re-measurement will be less than 10 years

iii. where radon levels were above 400 Bq/m3 at the initial measurement and measures have been taken to reduce radon exposures (such as engineered systems or occupancy restrictions), the re-measurement periods may need to be significantly more frequent in order to verify their continuing effectiveness.

Where engineered systems are used to reduce radon levels, management procedures must be in place to ensure that they remain mechanically operational, are kept switched on and are serviced regularly.

Financial implicationsIneffectual radon management can have financial implications to a business as well as causing health risks to building occupants. These could include the following:

• Closure of part or all of a building or site due to the presence of radon can have a big impact on the business being able to deliver to its customers in addition to possible expensive costs for emergency remedial works.

• There may be a reduction in the value of a property if appropriate preventative measures have not been implemented and the risk not managed effectively.

• Workers could make a claim against an employer for health effects resulting from exposure to radon in the workplace.


(if reasonably practicable, this should be safely below the lower action value) will need to be specified in the risk assessment report and an action plan formulated to deliver the measures identified.

Where noise levels are below the lower action value, only simple actions may be required to ensure the noise levels remain low, in association with periodic monitoring to confirm the noise levels remain within acceptable limits.

Management of risksOnce the risks have been evaluated and potential mitigation measures identified in the risk assessment and action plan, the control measures need to be undertaken and timetabled in order that the risks are managed effectively. Responsibilities should be given to individuals to take forward the actions identified in the plan.

There are a number of practical, cost-effective ways of protecting workers, which usually involve a combination of methods. These include:

• Prioritise and immediately tackle those areas that have been identified as having an immediate risk, eg by providing hearing protection until longer-term technical or management solutions can be found.

• Remove or reduce the noise at source. For example, is there a quieter way of doing the work? Can different equipment be used?

• Reduce the time period workers spend in areas of excessive noise.

• Use engineering controls, eg remove metal on metal impacts, damp down vibrating machinery parts, use anti-vibration mounts and silencers on exhausts.

• Use enclosures or screens around machinery to isolate the noise from workers or position the noise at a distance away from personnel.

• Design the workplace to use noise-absorbent materials, eg mineral wool, or place noisy operations in a place where there are few people present.

• Keep up with maintenance and servicing of equipment.• Provide health surveillance, eg periodic hearing tests

The last resort is the use of PPE such as ear defenders if all other options have been explored. However, in some cases this may be the only practical option to use or it may be necessary to use PPE in addition to the control measures listed above. If the lower action value is reached and provision of PPE is the only practical solution, employers must make hearing protection available to workers. If the upper action value is reached, workers have a duty under the regulations to use the protection provided.

As part of the management of the risks, as well as being a requirement of complying with the regulations, the employer must provide their employees with suitable and sufficient information on the risks. This should include:

• their likely noise exposure and the risk to hearing that this noise creates

Assessment of risksFactors that contribute to noise-induced hearing loss are noise levels and the duration of exposure of a person to the noise. The use of engineering and organisational means, rather than personal protective equipment (PPE), is usually the most effective way of controlling noise to protect workers at source, eg process changes and reducing time spent in noisy areas.

The first stage in assessing the risks to an employee in relation to noise is to split up the working patterns into different tasks and typical amounts of time that an employee spends doing each task within the different environments that they work. The next stage is to identify the areas in the building or on the premises where noise levels are suspected to be excessive.

As a simple guide you will probably need to do something about the noise if any of the following apply[54]:

• Is the noise intrusive – equivalent to a busy street, a vacuum cleaner or a crowded restaurant – for most of the working day?

• Do your employees have to raise their voices to carry out a normal conversation when about 2 m apart for at least part of the day?

• Do your employees use noisy powered tools or machinery for more than half an hour each day?

• Do you work in a noisy industry, eg construction, demolition or road repair; woodworking; plastics processing; engineering; textile manufacture; general fabrication; forging, pressing or stamping; paper or board making; canning or bottling; foundries?

• Are there noises due to impacts (such as hammering, drop forging, pneumatic impact tools) or explosive sources such as cartridge-operated tools or detonators, or guns?

In order to make a robust assessment of the noise exposure of employees, reliable data need to be gathered. This can take the form of measurements of the noise levels within the workplace, data from similar premises or data from the suppliers of equipment. The assessment must be undertaken by a competent person and so this may require engagement of an acoustic specialist.

The regulations require action to be taken by the employer when an employee’s average daily or weekly noise exposure is likely to exceed specific values (lower and upper) as well as exposure limit values that specify the noise that must not be exceeded. The lower action values, upper action values and exposure limit values are reproduced in Table 7. When considering whether to use weekly averaging it is important to ensure that there is no increase in risk to health. It would not be appropriate, for example, to expose workers to very high levels of noise on one day without providing hearing protection.

On identifying those areas where noise levels are around or above the lower action values, the likelihood of excessive noise exposure and the potential for hearing damage should be evaluated in order to obtain a risk value. Control measures to reduce the exposure and hence the risk to an acceptable level

Table 7: Noise action and exposure limit values

Type of exposure Lower action value Upper action value Exposure limit values

Daily or weekly exposure, dB(A) 80 85 87

Peak sound pressure, dB(C) 135 137 140


Vibration The scope of this section focuses on the risks from vibration to the building and the resulting risks to occupants. It is not concerned with risks to individuals from use of equipment that can cause hand-arm vibration (HAV) or whole-body vibration (WBV) health effects, as these are covered by the Control of Vibration at Work Regulations 2005[55].

The main sources of man-made ground vibrations in the UK are blasting (quarry, mining or construction), traffic, machinery and civil engineering work, particularly piling. These sources have certain differences. For example, blasting may produce high levels of vibration for a short period of time, whilst traffic may produce low-level, almost continuous vibration. Earthquakes are not considered in this guide due to their relative rarity and low seismic scale in the UK.

Modern methods of construction have resulted in vibration being an increasingly important issue as buildings are becoming lighter and have inherently less structural damping. People are experiencing an increase in the effects of vibration, which can cause annoyance, sickness and in extreme cases panic.

The measurement of vibration and people’s perception of vibration is related to the rate of change of acceleration or ‘jerk’. People show a wide range of sensitivity to acceleration, hence the usual approach is to set threshold acceleration levels, which in most guides is a level that 2% of the population find unpleasant and are likely to complain about.

Summary of regulationsThere are no specific regulations covering the risks to buildings and occupants from vibration. However, new buildings must comply with the relevant building regulations[19, 20, 21, 22] and guidance is given in Eurocodes (including National Annexes) and British and International Standards.

If a vibration constitutes a nuisance to occupiers of premises and negotiation of removal or reduction of the nuisance fails, it is possible that an action may be taken in court for an order to abate the vibration or prohibit its occurrence under the Environmental Protection Act 1990[56].

Assessment of risks Although there is no specific legislative requirement to conduct a formal risk assessment on vibration in buildings, the potential effects on building occupants may be an issue that needs addressing in certain types of building, eg tall buildings. The duration of a vibration can have a marked effect on the structural response of a building. Continuous vibration may produce a significantly higher response due to dynamic magnification if the excitation frequency is close to a resonance frequency of a structural element. Other than under severe earthquake conditions, significant damage to a building is unlikely and of more concern is the effect on occupants.

Horizontal or lateral acceleration of a building is caused by the swaying motion imposed on that building by an external load, eg wind. This has been investigated over many years and has led to wind-induced acceleration comfort criteria. Vertical accelerations also need to be addressed and these criteria are synonymous with floor accelerations in the building.

• actions being taken to control risks and exposures• where they can obtain hearing protection• whether they are required to wear ear protection, and

enforcement of this requirement. This should include designation and signage of hearing protection zones where the upper action value is reached

• encouragement to report defects in hearing protection and noise-control equipment

• what their duties are under the Control of Noise at Work Regulations 2005

• the proper way to use hearing protection and noise-control equipment, how to look after it and store it, and where it must be used

• the health surveillance systems that are available.

Health surveillance or hearing checks must be provided for all employees exposed to noise as identified in the risk assessment. They comprise regular hearing checks, informing employees of the results of the checks, record keeping and examination by a doctor where damage to hearing is identified. The results should be used to review and revise (if necessary) the risk assessment and control measures.

A review of the risk assessment is required as part of compliance with the legislation in order to:

• ensure the work on noise control is undertaken• check that the control measures are effective.

Financial implicationsBy properly managing the risks from excessive noise, not only is the legislation requirement complied with, but it also reduces the financial impact on the business from loss of staff due to time off sick, which can affect delivery of goods and services to clients resulting in them looking elsewhere and reduced business.

Some 170,000 people in the UK suffer deafness, tinnitus or other ear conditions due to excessive noise at work. The problem occurs in many workplaces, but particularly in the manufacturing and construction industries, as well as farms, transport operations, mines and quarries.

HSE statistics show that:

• there were 195 new claims for noise-induced hearing loss disablement benefit in 2010

• the industries with the largest number of new cases are extraction, energy and water supply, manufacturing and construction

• an estimated 22,000 people were suffering from hearing problems that they believed were related to their work (according to the the self-reported workers survey for 2010/11).

Information from one insurer shows that in 2006 the average cost of deafness settlements against employers’ liability claims was nearly £4000.

A way to ease the financial burden of managing the noise risk, as well as fulfilling statutory requirements in meeting the legislation, is to undertake other risk assessments at the same time, such as vibration (see below), by one supplier. Having one supplier will help reduce costs and save time arranging for separate consultants.


FloodingIn the UK there are nearly six million properties in floodplains along rivers, estuaries and coasts that are potentially at risk from flooding. Increasingly there is pressure to develop land in areas that are ‘at risk’, and hence it is a major problem for many people and incidences of flooding are likely to increase. The resulting damage to property (Figure 15) also has consequences to the health, safety and wellbeing of the occupants.

During a flood, there are numerous entry routes into a building through areas such as:

• masonry and mortar joints• brickwork/blockwork• vents, airbricks and cracks in the masonry• around windows and doors• around service pipes/cables• backflow through sanitary appliances.

Other entry routes may be through underground car parks, basements and subways.

Summary of regulationsThere are no specific regulations requiring a risk assessment for flooding except for newbuild work, which should be undertaken in accordance with BS 8533:2011[58]. However, if flooding is thought to be a potential hazard to a workplace then appropriate assessments of risks to employees, contractors and visitors on the premises will need to be conducted to meet the general requirements for the protection of employees under the Health and Safety at Work etc Act 1974 and the Management of Health and Safety at Work Regulations 1999.

Assessment of risksThis section covers the areas to consider when conducting a building flood risk assessment, either in advance of a flood having occurred or to assess the risk of a re-occurrence of a flood. Detailed guidance on making safe, decontamination and drying after a flood event is provided in standards for the repair of buildings following flooding[59] and is not covered here. To conduct a full flood risk assessment, specialist advice will be required.

To assess the risk of the potential for flooding to affect a building or site, all the potential causes should be examined and a judgement made on which, if any, scenario would be likely to occur.

A detailed review of published guidance on building vibration is given in BRE FB 33[57]. This publication also provides details of the dynamic testing methods that can be used on existing structures, ranging from measuring the vibration of the whole building or building elements or vibrations produced by machinery in the building. This information can then be used as a basis on which to manage any risks identified to the whole building or specific building elements.

Management of risksIn order to mitigate the risk from vibrations in buildings there are three components to address:

• the source of the vibration• the transmission path of the vibration • the receiver (ie the occupants or structure).

To reduce vibration levels at the structure, it is usually cheaper and easier to modify the energy input or frequency of the source.

Changing the transmission path is the most difficult option. Excavating a trench between the source of vibration and the receiver may appear to provide a physical barrier, but as the trench must be at least 0.3 times the wavelength of the ground wave, this is not normally practicable for low-frequency vibrations.

Changes to the building can be made at the design stage if a vibration problem is anticipated, or possibly by changing the existing structure (though this may not be practical).

A structure may be mounted on supports or bearings to attenuate vibrations. Alternatively, the resonance frequencies of a structure or structural element may be altered by structural changes to avoid problems due to resonance at a particular excitation frequency.

If damage to an existing building from vibration is suspected, measurements of the vibration levels should be made and photographs taken of any damage. Photographic evidence should ideally be of a ‘before and after’ type. In addition, measurements of vibration levels should be made when the source of vibration is absent so that a comparison of vibration levels due to the source of vibration can be made with levels due to everyday activities. BRE FB 33 provides details of the type of tests that can be undertaken.

Financial implicationsThe financial implications from vibrations in buildings are twofold: loss of staff due to time on sick leave and, in more severe cases, damage to the building. Long-term staff absences can incur costs from recruitment of temporary agency staff to cover their work and building damage may require costly mitigation measures and increased insurance costs.

If other risk assessments for the building are necessary, such as for noise or environment (indoor air quality), then some cost savings may be realised by having them all undertaken together by the one supplier with the required levels of expertise and capabilities.

Figure 15: Flooding


EA’s preferred approach to flood management for buildings is protection by permanent river or coastal flood defences. Where permanent defences are not available, temporary barriers, some of which are free-standing that typically hold floodwater back, are the next best option, eg portable dams and barriers. Where permanent or temporary barriers are not viable then removable flood products fitted to an individual property around walls, doors, windows, airbricks and vent covers are the third choice. In general, EA is moving towards passive rather than active measures for flood resistance, eg by using a flood-resistant door rather than doorboards[61].

If none of the above options is present, or if building owners are unable to guarantee that water will not enter the building, wet-proofing of the building can offer further resilience.

EA has set up a Floodline Warnings Direct service for England; similar services are available in Scotland, Wales and Northern Ireland from relevant environment agencies. This is a free service that provides automated flood warnings by telephone, mobile, email, SMS text message or fax.

The EA website (www.gov.uk/government/organisations/environment-agency) provides both personal and community flood plan templates and guidance to help prepare for flooding as well as actions to be taken during a flood. They are available to download as pdf documents. In addition, the National Flood Forum website (www.bluepages.org.uk) provides a directory of flood protection products and services. EA recommends that professional advice from a building surveyor, architect or other independent professional is sought before considering flood protection solutions for your property. There is currently no formal assurance scheme for flood surveyors, but the following institutions hold lists of members who have undergone internal vetting and adhere to a common code of conduct:

• Royal Institution of Chartered Surveyors (RICS) • Royal Institute of British Architects (RIBA).

It is important to be aware that using flood products may make floodwater outside the protected area more dangerous by making it flow faster. If floodwater overwhelms a barrier, it may have a more catastrophic effect than if the area had flooded gradually. When buying a flood product, it should be checked to ensure that it has been tested to industry standards, eg PAS 1188:2014[62], and that it is up to the job. Preferably, it should display an appropriate certification mark.

Financial implicationsThe financial impact of flooding on a business can be severe depending on the location of the building. A major flooding incident can cause the total destruction of stock and equipment and render buildings unusable for many months while clean-up operations are conducted. This can directly affect business operations and ultimately result in possible closure of a business.

It is estimated by the government[63] that the summer 2007 floods in the UK cost businesses £1 billion, with about £674 million worth of damage to national infrastructure and operation of essential services. The cost for flooded businesses in these summer floods averaged between £75,000 and £112,000 per business.

The Foresight Flood and Coastal Defence Project, for which the government has carried out a comprehensive investigation of the national impacts of flood risk and coastal erosion over a timescale of 30–100 years, has revealed that the economic impact of flooding due to climate change in the north-west of England alone could range between £75 million and £1248 million.

There are a number of causes of flooding, which include:

• extreme rainfall causing overtopping of rivers and streams• surfacewater run-off• breakage of sea defences• groundwater rising into buildings• infrastructure failure (eg burst water mains)• blocked or overloaded stormwater drainage/sewage systems.

The starting point to determine if a flood is likely to occur in the future is a desk study exercise, followed by a site survey. Areas that need to be covered in the study should be:

• Historical factors – such as previous flood history and flood warnings issued.

• Location. Is the building in a flood risk zone, protected by existing or planned flood defences or underlain by chalk aquifer? Is the building located in a natural or artificial hollow, in a valley or at the bottom of a hill?

• Adjacent area installations. Could the building impede drainage flow paths or watercourses controlled by a pumping station? Is the building downstream of a reservoir or other significant body of water?

• Geology. Is there a high percentage of hardstanding to soft ground, impermeable soil or soil near saturation point? Are there signs of erosion? Are there artificial drainage systems on or near the site?

The Environment Agency (EA) describes the likelihood or probability of flooding and gives it one of the following four categories[60]:

• High – greater than or equal to 1-in-30 (3.3%) chance in any given year.

• Medium – less than 1-in-30 (3.3%) but greater than or equal to 1-in-100 (1%) chance in any given year.

• Low – less than 1-in-100 (1%) but greater than or equal to 1-in-1000 (0.1%) chance in any given year.

• Very low – less than 1-in-1000 (0.1%) chance in any given year.

Once the likelihood is established, the consequences of a flood need to be addressed. Some of the factors that need to be addressed are described briefly below:

• The specific details of the building(s) should be addressed, which would include construction details and layout of the building, eg timber, modern brick, suspended floor.

• The duration of the flooding. A short-duration flash flood may produce less consequential damage than a longer-duration flood (unless it leads to collapse of the building). If the flood were to last more than 24 hours this could cause serious damage to the building elements.

• The nature of the floodwater should be addressed as water containing sewage can have health implications for people and require decontamination. Saltwater can cause corrosion to metal components.

• The depth of the floodwater can have a major impact on the damaged caused, and ultimately the costs for repairs to the infrastructure and contents of the building.

• The value of the property and the availability and cost of insurance cover.

The consequences of flood events relate not only to the built environment but also to people and the natural environment.

Management of risksAn assessment of the risk of flooding is essential, as it enables the building owner (or other interested party such as an insurance company) to decide on the best way to manage their exposure to flood risk.

www.gov.uk/government/organisations/environment

www.gov.uk/government/organisations/environment

www.bluepages.org.uk

http://www.rics.org/

http://www.architecture.com/


protection of employees under the Health and Safety at Work etc Act 1974 and the Management of Health and Safety at Work Regulations 1999.

The remediation of contaminated land falls under the Environmental Protection Act 1990. Part IIA of this legislation was inserted by the Environment Act 1995[65] and defines a scheme of identification and compulsory remedial action for contaminated land.

Assessment of risksFor existing buildings, as opposed to new developments, it is more difficult to assess and manage the risks to BBM&S. This is because it can be more difficult to obtain access to properly investigate the ground conditions where buildings and services are already in place. There are also generally fewer options available for the remediation of an existing contamination-related problem than where new BBM&S are proposed. Detailed guidance is available in the EA report Assessment and management of risks to buildings, building materials and services from land contamination[66].

There are four principal hazards to consider (Table 8):

• Aggressive chemical substances – including inorganic and organic acids, alkalis, organic solvents and inorganic salts such as sulfates and chlorides, which may affect the long-term performance and durability of construction materials used in contaminated ground.

• Combustible fills and explosive materials – if ignited, may lead to subterranean fires and consequent damage to the structural stability of buildings and the integrity/performance of site services. Landfill gas ingress into buildings can cause explosions.

• Expansive slags – have implications for the structural stability and serviceability of buildings and services.

• Unstable fills – also have implications for the structural stability and serviceability of buildings and services.

There are two general approaches that can be used to estimate the risks from the above hazards. The approach advocated by the UK government and environment agencies is to identify ‘contaminant-pathway-receptor’ relationships or ‘linkages’. This involves identifying potential contaminant sources and receptors and then looking for actual or potential pathways between the contaminant sources and receptors. By removing or modifying one or more of the three essential elements of the linkage, risk reduction or control is achieved. Risks to BBM&S from aggressive ground conditions are particularly amenable to this type of approach.

The alternative approach to risk assessment and management involves the development of ‘hazard-event-consequence’ scenarios. For example, a scenario involving landfill gas might be described as follows:

Landfill gas enters a building (event) where it accumulates to a concentration above its lower explosion limit (hazard), which is ignited, causing building damage or destruction (primary consequence), which in turn leads to damage to neighbouring buildings from the primary blast or the subsequent fire that occurs (the indirect consequence or event).

The potential advantage of this type of analysis is that in theory it is possible to estimate the chance that an unwanted consequence will occur by attaching probabilities to each

In undertaking risk assessment work to reduce the risk to a business from flooding, cost savings may be possible by using companies that can also provide risk assessment services to cover other risks to a building or site as part of one coordinated project. In this way time and money can be saved, as well as meeting the requirements of legislation.

Contaminated landBuildings that have been built on brownfield sites are potentially at risk from contamination in the underlying soil if appropriate remedial measures have not been undertaken prior to construction. Contaminated land (Figure 16) can affect the building, building materials and services (BBM&S) entering the building. This section covers four main hazards that affect the BBM&S and hence the general safety of the building:

• aggressive chemical substances• combustible fills and explosive materials• expansive slags• unstable fills.

The health risks to occupants of buildings are covered in the ‘Environment’ section.

Summary of regulationsWhen planning the construction of a new building, the Construction (Design and Management) Regulations 2015 require the likely risks from contaminated land to be identified and addressed in the ‘health and safety file’. Relevant building regulations for England, Wales, Scotland and Northern Ireland also require that reasonable precautions are taken to avoid danger to health and safety caused by contaminants on or in the ground covered, or to be covered by a building and any land associated with the building. It is important that the development of land that may be affected by contamination does not endanger public health and safety. This reflects the advice given in Planning Policy Statement PPS 23[64], as well as the requirements of the relevant building regulations.

There are no specific regulations requiring a risk assessment for older existing buildings built on contaminated land. However, if the effects on the building are thought to be a potential hazard to a workplace then appropriate assessments of risks to employees, contractors and visitors on the premises will need to be conducted to meet the general requirements for the

Figure 16: Contaminated land


• historical and similar land use records • evidence from the planning/building controls or pollution

control records • geological and hydrological characteristics of the site and

its setting that would have the effect of enhancing or triggering risks to BBM&S

• evidence from site reconnaissance and any ad hoc sampling or testing

• details of preliminary condition surveys (of buildings and structures)

• techniques used to identify any suspect materials• the grounds for describing specific materials as ‘aggressive’,

‘combustible’, ‘slag’ or ‘unstable fill’ and any doubts about their reliability

• the characteristics (where known) of existing BBM&S, particularly where such characteristics may affect the level of risk

• a conceptual model (textual or graphical form) showing the relevant pollutant linkages and timeframe for assessment

• conclusions, including reference to the state of any existing damage, and recommendations for any further work such as additional specialist investigation and assessment.

Phase 1b risk assessment (contaminants known or likely to be present)

Where aggressive substances or conditions are known or likely to be present, the risk assessment reports should contain the information listed below, as appropriate:

• additional desk-based research that corroborates or otherwise Phase 1a risk assessment findings

• the rationale for any exploratory investigation work • the sampling methodology used to collect samples for

testing during exploratory investigation

individual component of the relationship. However, this can be difficult to do in practice as there are inherent uncertainties in the assessment and management of risks to BBM&S, which include:

• how materials perform under aggressive ground conditions, since this depends on many factors including the inherent properties of the material

• limited knowledge about how a material is performing in the ground (remote sensing can be undertaken but only for limited cases) and the long-term performance of many materials under real conditions

• consequences including costs of ‘failure’ and the difficulty of repair, all of which must be taken into account when deciding how to deal with unacceptable risks.

There is specific information that should be available in risk assessment reports where BBM&S are being considered, as described below.

Short-term risks

If there is any evidence that indicates that prompt action is required to deal with immediate (ie short-term) risk, recommendations should be made regarding any urgent investigations required. The information should be conveyed immediately to the building owner or other duty holder without waiting for the formal risk assessment report.

Phase 1a risk assessment (contaminants could be present)

Where it is thought that aggressive substances or conditions that would result in adverse effects on BBM&S could be present, the risk assessment reports should contain the information listed below, as appropriate:

Table 8: Hazards to BBM&S

Hazard Direct hazard Indirect hazard

Aggressive chemical substances

Attack on materials used in BBM&S will result in loss of structural integrity or serviceability and possibly threaten health and safety

For example, chemical attack could: • undermine the effectiveness of gas protection systems• undermine the effectiveness of leachate control systems• lead to the entry of contaminants into potable water

supply pipes• lead to the escape of a domestic gas supply • damage telecommunication cables vital to safety systems• damage electrical cables, causing loss of vital supply or

ignition of combustible fill

Combustible fills and explosive materials

Combustion of fill will threaten the integrity of BBM&S and possibly threaten health and safetyIgnition of landfill gas can cause severe damage to BBM&S with risks to life

For example, combustion could lead to: • creation of cavities, causing instability• damage to services, threatening health and safety• production of toxic gases that could enter buildings • fire and explosion that could affect neighbouring

properties

Expansive slags Expansion will cause damage to BBM&S, threatening structural integrity and possibly health and safety

For example, expansive reactions could lead to: • damage to services, posing a threat to health and safety or

commercial operation• uneven road surfaces that could cause traffic accidents

Unstable fills Settlement will damage BBM&S and possibly threaten health and safety

For example, settlement could lead to: • damage to services, posing a threat to health and safety or

commercial operation


• the rationale for, and factual output from, main stage investigations as set out above for exploratory investigations

• a summary of the hazardous substances/conditions being considered

• details of the approach used to estimate risks • details of any assumptions or limitations applying to risk

estimation • the outcome of risk estimation • an account of any sources of uncertainty• the effect of uncertainty on risk estimates (eg whether they

are worst or best case) • the possible consequences of taking (or not) particular

courses of action (eg of protecting/not protecting buildings, materials or site services)

• CBA of different remedial solutions • a summary of the provisional remedial objectives for those

hazards that, in light of all of the above, are considered to pose unacceptable risks.

• the number, locations and depths at which samples were taken

• the field/laboratory test methods used • evidence from exploratory investigations • the characteristics of hazardous materials (eg physical state,

solubility, mobility, volatility)• the characteristics of the site or its setting (eg depth to

groundwater, direction of flow, permeability) that enhance or trigger risks to BBM&S

• a refined conceptual model• conclusions and recommendations.

Phase 2 risk assessment (risk estimation and evaluation)

Phase 2 risk assessment reports should contain the information listed below, as appropriate:

Table 9: Remedial options for reducing risks to BBM&S

Hazard Remedial options

Aggressive chemical substances • Excavate and remove affected material• Excavate and treat affected material• Modify pathway (eg using protective coatings or sacrificial layers)• Replace/repair damaged material or components using higher-specification materials• Contain contaminated zone or building foundations• Design and construct site drainage to reduce or eliminate contact between

contaminants and building foundations or services

Combustible fills and explosive materials

Already burning fills*† • Install isolation barriers• Compact the fills to exclude air• Block air channels• Introduce water by flooding• Inject gas/water/grout• Excavate the affected area

Potentially combustible fills

• Reduce the potential for ignition (eg by prohibiting the lighting of fires)• Compact the fills to exclude air• Cover with inert material• Protect services in prepared trenches• Inject grout• Excavate material and remove• Protect buildings (eg adjacent to affected areas) using barriers of inert material such as

limestone or cement grout

Landfill gas (see also ‘Radon’ section)

• Use a concrete slab and membrane on a granular layer• Ventilate the subfloor voids• Locate service entry points above the floor slab and gastight seals• Undertake gas concentration monitoring

Expansive slags • Excavate and remove affected material• In extreme cases, demolish/replace damaged buildings, materials and services

Unstable fills • Provide temporary support by underpinning• Excavate affected material and replace• In extreme cases, demolish/replace damaged buildings, materials and services

* Whether presenting short- or long-term risks. † Not all of these methods will be applicable to sites in which fires are already burning; remedial methods have to be assessed on a site-specific basis.


According to the Construction Industry Research and Information Association (CIRIA), some 3% of all properties in the UK are affected by land contamination, meaning 786,000 properties could be affected. The average cost of cleaning up contaminated land is £250,000 per acre, meaning that it could cost £15,000 to make right the average contaminated plot in the UK.

As the financial costs to a business from the effects of contaminated land could be significant, a way to add value in reducing the risks is to have a number of other risks assessed at the same time by one supplier. This will save money and time in using one supplier, but could also be beneficial in identifying common remedial and mitigation measures to address a number of other risks, eg from radon, flooding or indoor air quality (see ‘Environment’ section below).

EnvironmentThis section covers the environment inside a building, which can have a major influence on the health, comfort and well-being of occupants. Poor air quality has been linked to sick building syndrome, psychosomatic effects, reduced productivity in offices and impaired learning in schools.

As people spend a great deal of their time indoors, the total exposure to many air pollutants largely depends on the level of indoor exposure. These substances include volatile organic chemicals (VOCs), gases such as carbon monoxide, particulate matter and biological particles such as bacteria, fungi and pollen. Sources include outdoor contaminants from smoke, traffic and industry, which enter buildings by infiltration and through ventilation systems, and indoor contaminants from burning fuels, candles, emissions from building materials, furnishings, cleaning products, electronic equipment, toiletries, people and pets. New building products can be particularly important pollution sources.

Summary of regulationsThe specific regulation covering the health effects to people in buildings from substances is COSHH[33]. Substances can take many forms and include:

• chemicals• products containing chemicals• fumes• dusts• vapours• mists• nanotechnology• gases and asphyxiating gases• biological agents.

An assessment of the risk posed by harmful substances needs to be conducted and then control measures used where necessary. In some instances health surveillance monitoring may be required and appropriate information, instruction and training provided to those employees affected. An emergency plan needs to be formulated and people informed of the actions to take in the plan in case of an emergency.

Pollutants’ impacts on health depend on their toxicity, concentration and exposure period, and range from odour to irritation to serious toxic effects. Approved Document F to the Building Regulations for England[67] or Wales[68], or the equivalent in Scotland[36] or Northern Ireland[69], set performance criteria for several air pollutants, including VOCs, nitrogen dioxide and carbon monoxide.

Management of risksRisk management is required when unacceptable risks to defined receptors exist and action is needed to reduce or control those risks to acceptable levels. Usually this does not begin until the full process of risk assessment has been completed. However, in short-term risk situations remedial action may be necessary in advance of completion of the risk assessment. Remedial methods usually involve removing or modifying one or more of the three key components of the hazard, ie contaminant-pathway-receptor.

The evaluation and selection of appropriate remedial measures involves the following stages:

• Defining the risk management context – this activity involves defining the context within which risk management is to be carried out, the specific objectives of the action and, where necessary, their relative priorities.

• Reviewing available information – sufficient information on site conditions is required to be able to properly evaluate potentially applicable remedial methods. This information should have been gathered from the risk assessment exercise.

• Identifying potentially applicable options – an assessment of the advantages and disadvantages of each of the alternative remedial options is required so that a strategy that meets the overall needs of the site can be identified.

There are a number of options that may be used to control the risks. These are listed in Table 9 above and, with the exception of the landfill gas remedial options, are taken from the EA report Assessment and management of risks to buildings, building materials and services from land contamination[66].

Once a preferred remedial strategy has been selected, the next stage is to carry out the detailed design and related work needed to translate the strategy into a practical working plan for application to the site. This detailed planning is usually contained in a risk management plan. To prepare the plan it is necessary to review and confirm the context within which the remedial work is to be implemented. The next step is the detailed design requirements of the remedial works. Issues to be considered are design life, buildability, robustness and quality assurance and control. Decisions on design life may have implications for monitoring (see below). Note that only suitably qualified engineers, architects or other specialists should undertake detailed design.

If a remedial strategy has been implemented that allows for aggressive substances and other hazardous materials such as combustible or unstable fills and slags to remain in place, albeit in a controlled or contained state, then some form of monitoring will be necessary. Examples include the use of isolation or containment barriers and covering systems. In these cases, monitoring may be the only way to demonstrate continued effective performance of the remedial measures.

Financial implicationsThe financial implications to a business of the hazards identified in this section are based on the effects on the building and the occupants. If the structural stability of the building is compromised the building will require major remedial works or be rendered unusable if the costs of repair are excessive. This would have a major impact on the operation of a business, requiring the moving of staff and equipment to an alternative building or temporary accommodation involving significant costs. The health effects of the hazards on staff could also result in time off work, which may require the hiring of additional staff to cover absences.


media, receptor characterisation, land use and pathway characterisation)

• a description of model outputs and interpretation • the impacts of sensitive model parameters • common problems with the model, and mistakes when

using the model • model limitations – what the model does not do.

The fact sheets are available from the EA website. Technical guidance is also available from EA for the following special sites:

• MOD land

• chemical weapons sites • explosives manufacturing and processing • acid tar lagoons • petroleum refineries • nuclear establishments.

Other substances that should be considered as part of the risk assessment process are gases such as carbon monoxide, ozone and oxides of nitrogen, biological agents such as bacteria, fungi and pollen, as well as other contaminants such as particulates and fibres. Sources to consider are both indoor ones and outside sources from traffic and industry, which may infiltrate through windows, ventilation systems or gaps in the fabric.

Management of risksOnce the risks have been identified and quantified, the next stage is to put in place measures to control and manage the risks. There are three main stages:

• Identify possible mitigation techniques, which may be physical (eg barriers for contaminated land pollutants or removal/substitution of products), mechanical systems (eg increased ventilation), operational (eg decreased time intervals between servicing of equipment) or combinations of all of these that will meet the criteria for successful mitigation of the risks.

• Conduct a structured evaluation of the options, eg by using a CBA to decide on the best option(s).

• Formulate a strategy to implement the mitigation measures and verify that the criteria for successful mitigation have been met.

Mitigation involves three main approaches:

• Remove or treat the source.• Break or remove the pathway.• Remove or protect the receptor.

More details of the techniques that can be adopted are provided in BRE DG 482[79].

When looking at the management of the risks posed by environmental hazards, consideration should also be given to liability for the contamination, if it was present prior to the building being purchased or occupied. Not only could the contamination affect the health of the occupants but also the value of the property. If the contamination of the site is from the current occupiers’ work practices, these issues still need addressing to ensure the well-being of the workforce and also for the future potential sale of all or part of the site. Based on the principle that the ‘polluter pays’, liability will normally cover clean-up of the site and any third-party property and injuries caused by the contamination.

A way of safeguarding against future liabilities is to take out environmental liability insurance, which is a growing area of business within the industry. It covers a gap in the coverage of public liability insurance and only relates to sudden, identifiable

For assessing risks from contamination through the use of previously developed land, Part IIA of the Environmental Protection Act 1990 is the relevant legislation that applies.

Assessment of risksThe first task, as with any risk assessment, is to identify all the substances and materials, along with their processes, that have the potential to cause harm and whether the exposure can be prevented by replacing with non-hazardous substances. If exposure cannot be prevented then the risk needs to be assessed and appropriate mitigation measures used to control the risk to ALARP.

As a guide to assist in determining the level at which a substance may cause harm to occupants of the building, some materials have workplace exposure limits (WELs). Exposure means substance uptake into the body. The exposure routes are:

• by breathing fume, dust, gas or mist• by skin contact through absorption• by injection into the skin• by swallowing/ingestion.

About 500 substances have WELs listed in HSE document EH40/2005[70]. To determine if a certain substance is present at a level above the appropriate WEL, monitoring of the workplace is required. HSE guidance sheet G409[71] provides some guidance in this area.

There are a number of potential sources of contaminants inside a building and they are usually in the form of VOCs. Sources include the building materials used in construction of the building, the furnishings, paints, office equipment and consumer products. BRE DG 464[72, 73] gives an overview of VOC emissions from building products . Emissions testing of building products can be conducted to provide information on the chemicals present in the building according to a number of standards using various methods:

• ISO 16000-6:2011[74]

• ISO 16000-9:2006[75] • ISO 16000-10: 2006[76].

For testing of emissions of formaldehyde (which is classed as a ‘very volatile organic compound’ or VVOC) from wood-based products, BS EN 717-1:2004[77] can be used. Other test methods, such as BS EN 717-3:1996[78], can also be carried out for routine testing of formaldehyde release from products.

In addition to sources inside the building, another potential source is from contaminated land where the building in question has been developed on or near to previously developed industrial land that has left behind contaminants. The ingress of organic chemicals through the ground and into the building needs to be part of the risk assessment process. BRE DG 482[79] provides more details on the general types of contaminant that can be found and on the assessment of risks to human health.

For assessing the risks to health of the occupants of a building from land contamination (see also the ‘Contaminated land’ section above, which primarily covers the risks to buildings), EA has developed a number of fact sheets for a number of models commonly used in the UK. The purpose of these fact sheets is to provide users with:

• a brief description of the selected model (including receptor types, land use and exposure scenarios)

• an overview of the model’s principal features (including what the model is supposed to do, model usability, toxicological information on contaminants and contact

http://publications.environment-agency.gov.uk/pdf/SP5-042-TR-1-e-p.pdf







Financial implicationsOther than the liability issues and the direct costs to the business from the mitigation methods used to reduce the risks identified, if staff have to take time off due to illness caused by the contamination then there are issues for the business in covering the absent staff. This may incur costs from hiring replacement or temporary staff. Other costs may also arise from increased insurance premiums and loss of income from disruption to the business.

A coordinated approach to assessing the risks from indoor air quality alongside the assessment of other risks, such as from contaminated land and radon, by a single supplier will ensure the most effective use of resources while adding benefit to a business from the reduction of risks and meeting legal obligations.

incidents, and not longer-term problems that may arise from any unknown contaminants present over time or the re-emergence of known contaminants thought to have been treated.

The management of the risks in this area is closely linked to that of managing the flooding and contaminated land risks as described in the previous sections. The synergies between these areas offer the property owner cost efficiencies by dealing with them together in a combined risk assessment and remedial strategy.

295 Benefits of holistic approach to risk management

At present it is usually the case that in each of the areas in Table 10, the risks are assessed by separate surveyors and risk assessors, most likely from different companies, who look at one aspect in isolation. This then results in numerous reports from different contractors landing on the site owner’s/manager’s desk, all advocating specific remedial measures to mitigate the risks they have identified. Some of the mitigation measures proposed may be beneficial in reducing the risks from more than one hazard, eg protection of buildings from radon ingress would also reduce the risk from landfill gas if the site was built on contaminated land. Moreover, in other cases, the actions required reduce the risk in one area but increase it in another, eg asbestos board used for fire protection being replaced by a more combustible board that increases the fire risk. Hence, is the isolated use of specialist contractors the safest and most cost-effective way of tackling the risks to buildings?

There are two main aspects to consider when looking for a safe and cost-effective holistic approach to managing the risks in existing buildings. The first aspect is the coordinated conduction of the risk assessment and the second is effective use of the resulting remedial or mitigation actions.

In order to ensure the purchaser of the risk assessment has some confidence that the person undertaking the training is competent, the risk assessor should ideally be certified to a UKAS-approved certification scheme. However, at present there are few such schemes available, though it is becoming an increasingly important consideration, in particular with regard to fire, where the potential liabilities for getting it wrong are very serious for both the person commissioning the assessment and the assessor.

There is published government-backed guidance[80] on the technical areas that must be shown to be covered in any fire risk assessment certification scheme, but this type of guidance is not available for other risks to buildings.

Currently, the best option is to use one company that can provide the majority of the assessments required so that ‘in-house’ common approaches and standards within the company undertaking the assessments are used to the benefit of the building owner, as well as potential cost savings for a ‘bulk’ order purchase that may be negotiated. The use of a multi-disciplinary assessment team from within the same company can also make it easier to coordinate the risk mitigation actions, as described below.

Coordinated risk mitigationAs well as the benefits from having a number of risk areas assessed by one provider, or one company, there are undoubted benefits from having a coordinated approach to the actions identified by all the risk assessments. In many cases actions taken to reduce an identified risk in one area can be beneficial in reducing the risk in another area. For example, reducing volumes of low-flashpoint flammable materials would be a mitigation method to reduce the risks in both the fire risk assessment and the DSEAR risk assessment and could also benefit the environmental assessment. Another example

The aim of this section is to provide guidance on how building owners and managers can effectively and efficiently manage the numerous risks that potentially can affect their premises.

Risks can be split into the following categories:

• risks to occupants• risks to building• risks to both building and occupants • risks to business.

Although it would seem that any risk to a building would automatically affect the occupants, in some instances, such as fire, the risk to life safety could be minimal (due to low occupancy levels in a building with numerous exits and good fire detection coverage), but large compartments could lead to unrestrained fire propagation resulting in widespread damage to the building and contents. Similarly, an explosion on a process fitted with explosion-relief vents may relieve the pressure to an area outside the building, thus saving the building and the process from damage, but if it is not vented into a safe area could direct the pressure and fireball to a location where people could be present. With all the potential hazards covered in this guide there will be a financial impact to the business if the risks are not managed. In some cases, such as fire and explosions, the financial consequences could be significant enough to put the business itself at risk.

Table 10 identifies the risks to occupants, buildings and businesses from the various risk events covered in this guide and provides a starting point in the effective management of the different risks that may be present on the premises.

The building owner or duty holder, perhaps with the assistance of a health, safety and environment manager, should identify the potential risks that may affect the building or site. Depending on the size and complexity of the building and operations undertaken, it is likely that specialist consultants will be required to undertake a risk assessment. There are common tasks that need to be undertaken for all the areas identified in Table 10, namely:

1. Site survey2. Desk-based study3. Identification of hazards4. Evaluation of risk5. Formulation of action plan to implement mitigation measures 6. Proposal of mitigation measures7. Review8. Provision of information and training to affected persons.

The first stage when assessing the risks to existing buildings is to gather sufficient information on which to make an evaluation of the risk. In the vast majority of cases this will usually require both a site survey (1) and a desk-based study (2). The information collated should not only cover the construction details of the infrastructure on the site, and possibly ground conditions, but also the activities undertaken on the site including operational and management processes. Once all the information has been gathered, the identification of the hazards (3) can be undertaken, the risks evaluated (4) and an action plan formulated (5) with proposed mitigation measures (6).

5 Benefits of holistic approach to risk management


• Money can be saved by reducing time spent finding, engaging and managing numerous separate external contractors.

• More cost-effective pricing of the work by a company that can do all the risk assessments, compared with numerous separate quotes.

• Reduction in time spent undertaking the assessments and reporting by the contractor.

• Generation of synergies – certain control measures work to mitigate the risks in a number of areas, thus potentially reducing the costs from duplication of effort and reduced prices from bulk orders of equipment or other items.

• Pan-business solutions that are elegant and simple rather than complex, piecemeal and uncoordinated.

Overall, a strategic, value-driven, holistic approach to risk management covering the majority of the typical and most common risks associated with buildings could help an organisation achieve its business goals in the most cost-effective manner within the shortest timeframe.

would be that enclosing machinery that can reduce the risk of noise may also reduce dust cloud formation to reduce the risk of a secondary dust explosion. By having a single assessor undertake a number of assessments, the assessor should be able to provide recommended actions that would be beneficial over a number of different areas. If different risk assessors have undertaken the work then having a single manager to arrange the implementation of the recommended actions on the site would still have the advantage of them recognising the potential for mitigation methods having benefits in reducing a number of different risks. If there is insufficient in-house expertise available to manage the risks identified, outsourcing this to a company specialising in managing sites could be an option.

In summary, the benefits of a holistic approach to managing risks in buildings are:

• Less disruption to the owner of the business having the assessments done as there are reduced numbers of contractors on site and the assessors can identify the potential solutions covering a number of risk areas in each particular part of the premises being surveyed.

Table 10: Potential risks to occupants, buildings and businesses from various risk events

Risk Occupants Building and systems Financial cost estimate Relevant legislation

Fire From minor injuries to multiple deaths

From minor smoke damage to destruction of the building

Up to £100 million Regulatory Reform (Fire Safety) Order 2005[6], Fire Safety (Scotland) Regulations 2006[81], Fire Safety Regulations (Northern Ireland) 2010[82]

Explosion From minor injuries to multiple deaths

From minor damage to destruction of the building

Up to £1 billion Dangerous Substances and Explosive Atmospheres Regulations 2002[29]

Asbestos From long-term health problems to death

From minor disruption to use to unusable

Up to £1 million Control of Asbestos Regulations 2012[31]

Legionella From mild illnesses to long-term health problems and death

From temporary to permanent loss of the system

Up to £1 million Health and Safety at Work etc Act 1974[3]

Radon From mild illnesses to long-term health problems and death



Noise Sleeplessness due to hearing impairment or loss


Up to £1 million Control of Noise at Work Regulations 2005[53]

Vibration Annoyance due to sickness/panic


Up to £1 million Building regulations[19, 20, 21, 22]

Flooding Minor illnesses/injuries, psychological effects, death



Contaminated land

Mild illnesses, minor injuries


Up to £1 million Construction (Design and Management) Regulations 2015[50], Health and Safety at Work etc Act 1974[3], building regulations[19, 20, 21, 22]

Environment Reduced performance, illness


£1–10 billion Control of Substances Hazardous to Health Regulations 2002[33], building regulations[19, 20, 21, 22]

316 References

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6 References

Publications from IHS BRE Press

Fire safety and security in retail premises. BR 508

Automatic fire detection and alarm systems. BR 510

Handbook for the structural assessment of large panel system (LPS) dwelling blocks for accidental loading. BR 511

Integrating BREEAM throughout the design process: a guide to achieving higher BREEAM and Code for Sustainable Homes ratings through incorporation with the RIBA Outline Plan of Work and other procurement routes. FB 28

Design fires for use in fire safety engineering. FB 29

Ventilation for healthy buildings: reducing the impact of urban pollution. FB 30

Financing UK carbon reduction projects. FB 31

The cost of poor housing in Wales. FB 32

Dynamic comfort criteria for structures: a review of UK standards, codes and advisory documents. FB 33

Water mist fire protection in offices: experimental testing and development of a test protocol. FB 34

Airtightness in commercial and public buildings. 3rd edn. FB 35

Biomass energy. FB 36

Environmental impact of insulation. FB 37

Environmental impact of vertical cladding. FB 38

Environmental impact of floor finishes: incorporating The Green Guide ratings for floor finishes. FB 39

LED lighting. FB 40

Radon in the workplace. 2nd edn. FB 41

U-value conventions in practice. FB 42

Lessons learned from community-based microgeneration projects: the impact of renewable energy capital grant schemes. FB 43

Energy management in the built environment: a review of best practice. FB 44

The cost of poor housing in Northern Ireland. FB 45

Ninety years of housing, 1921–2011. FB 46

BREEAM and the Code for Sustainable Homes on the London 2012 Olympic Park. FB 47

Saving money, resources and carbon through SMARTWaste. FB 48

Concrete usage in the London 2012 Olympic Park and the Olympic and Paralympic Village and its embodied carbon content. FB 49

A guide to the use of urban timber. FB 50

Low flow water fittings: will people accept them? FB 51

Evacuating vulnerable and dependent people from buildings in an emergency. FB 52

Refurbishing stairs in dwellings to reduce the risk of falls and injuries. FB 53

Dealing with difficult demolition wastes. FB 54

Security glazing: is it all that it’s cracked up to be? FB 55

The essential guide to retail lighting. FB 56

Environmental impact of metals. FB 57

Environmental impact of brick, stone and concrete. FB 58

Design of low-temperature domestic heating systems. FB 59

Performance of photovoltaic systems on non-domestic buildings. FB 60

Reducing thermal bridging at junctions when designing and installing solid wall insulation. FB 61

Housing in the UK. FB 62

Delivering sustainable buildings. FB 63

Quantifying the health benefits of the Decent Homes programme. FB 64

The cost of poor housing in London. FB 65

Environmental impact of windows. FB 66

Environmental impact of biomaterials and biomass. FB 67

DC isolators for photovoltaic systems. FB 68

Computational fluid dynamics in building design. FB 69

Design of durable concrete structures. FB 70

The age and construction of English homes. FB 71

A technical guide to district heating. FB 72

Changing energy behaviour in the workplace. FB 73

Lighting and health. FB 74

Building on fill: geotechnical aspects. 3rd edn. FB 75

Changing patterns in domestic energy use. FB 76

Embedded security. FB 77

Performance of exemplar buildings in use. FB 78

Designing out unintended consequences when applying solid wall insulation. FB 79

Applying Fabric First principles. FB 80

The full cost of poor housing. FB 81

The cost-benefit to the NHS arising from preventative housing interventions. FB 82

Measuring fuel poverty. FB 83

Assessing the performance of Phase Change Materials in buildings. FB 84

Material resource efficiency in construction. FB 85

For a complete list of IHS BRE Press publications visit www.brebookshop.com

Managing risks in existing buildings

IHS BRE Press, The Capitol Building Bracknell, Berkshire RG12 8FZ www.brebookshop.com FB 86

This guide aims to provide a holistic overview of the issues to consider and the techniques and information sources available to improve the management of risks in buildings by the building owner, manager and/or user. This should realise benefits from reduced business losses, reduced insurance premiums, improvements in day-to-day operating costs, improvements in staff welfare (reduced sick absences) and reduced reactive mitigation measures after an incident.

This report applies to all types of existing non-domestic buildings and premises in the UK from offices, warehouses and industrial/processing sites to transport hubs such as airports and railway stations. The guide covers those risks that can have a major impact on the building or site infrastructure and a significant proportion of its occupants. Due to the wide-ranging nature and use of buildings in the UK, there may be some types of risk that are not covered here, although the general principles for risk assessment will still apply.

9 781848 064591

ISBN 978-1-84806-459-1

This report has been funded by BRE Trust

Fire engineering: a collection of BRE expert guidance on fire modelling and engineering for the built environment AP 313

Fire safety in buildings: a collection of BRE expert guidance on fire risk, protection and detection AP 312

Risks of dust fires and explosions: a review of European test methods IP 14/08

Radon: guidance on protective measures for new buildings BR 211, 2015 edn

Radon in the workplace: a guide for building owners and managers FB 41, 2nd edn

Sound insulation in dwellings GG 83

Related titles from IHS BRE Press

Dynamic comfort criteria for structures: a review of UK codes, standards and advisory documents FB 33

Climate resilience: a collection of BRE expert guidance on managing climate risks in the built environment AP 301

Applying flood resilience technologies GG 84

Flood-resilient building DG 523

Building on brownfield sites: reducing the risks GG 59

Brownfield development sites: ground-related risks for buildings BR 447

www.brebookshop.com

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