R-1 Risk Assessment Management

Transcription

1 R-1 Risk Assessment Management Page 1 of 14

2 R-1 Risk Assessment Management Contents Page 1.0 Introduction Duties & Responsibilities Procedural Arrangements Associated Documents Page 2 of 14

3 1.0 Introduction 1.1 The University defines risk as the possibility that an action or event will adversely (or beneficially) affect the University s ability to achieve a planned objective. The identification, assessment, monitoring, management and reporting of risks are the responsibility of every member of staff. 1.2 Risk management may be defined as the planned and systematic approach to identification, evaluation and control of risk. This is achieved by hazard identification, risk assessment, the implementation of appropriate controls, monitoring and review. 1.3 A risk assessment would typically include the following steps: Identify the hazards (anything that may cause harm, such as chemicals, electricity, working from ladders, an open drawer etc). Identify who might be harmed and how Identify what controls are currently in place Assess whether those controls are sufficient Identify any additional controls which will further reduce the risk Overall, the risk being the chance, high or low, that somebody could be harmed by a workplace hazard(s), together with an indication of how serious the harm could be. 1.4 Safety, health and environmental (SHE) plans are required at both Corporate and Faculty / Service level and a SHE Review system is in place to monitor progress in the implementation of these plans and the achievement of the stated SHE objectives. 1.5 Risk management is achieved through the establishment of a suitable Safety Management System (SMS), which conforms to the requirements of Regulation 5 of the Management of Health and Safety at Work Regulations The adopted SMS for the University of Sunderland is based on the principles of HSE over-arching guide on the essential philosophy of good health and safety Successful Health and Safety Management (HSG 65). The key elements of HSG 65 health and safety management system is shown in Figure 1 below. Figure 1. Elements of HSG An SMS provides a structure for the overall management activity and controls which facilitate the management of the H&S risks associated with the business of the organization. This includes the establishment of both institutional and local H&S policies, the Page 3 of 14

4 organisational structure & responsibilities for achieving the institutional H&S policy, the development of a plan, with associated monitoring and review arrangements, which lead to a continual improvement in H&S performance. Note: It is preferred that the University adopts a hollistic approach by requiring the SMS and the associated arrangements to incorporate Environmental management alongside Health and Safety. 2.0 Duties & Responsibilities 2.1 The University has a legal duty under Regulation 3 of The Management of Health and Safety at Work Regulations 1999 (MHSW), to assess and manage risks to employees and others arising from work activities. This requirement is also reflected in HSG The University has a wide array of arrangements in place to ensure the health and safety of the workplace, including making arrangements for emergencies, adequate information and training for employees, students and visitors and for health surveillance where appropriate. Through this, the University achieves effective planning, organisation, control, monitoring and review of the preventive and protective measures. 2.3 Deans and Directors are required to ensure that a comprehensive and systematic programme of formal risk assessments is undertaken for the work activities for which they have responsibility. Equally, every employee has a responsibility to undertake their duties in accordance with their knowledge and training, and not to expose themselves, or others to undue risk. 2.4 To meet the requirements of Regulation 3 of MHSW 1999, Deans and Directors through appropriate management must ensure that all work activities to be subject to: Suitable and sufficient assessment of the risks. Undertaken by competent personnel. The significant outcomes of the risk assessment process are recorded in a retrievable form. Communicated effectively to those who undertake the tasks and activities. Identified controls implemented and; Monitored for effectiveness 2.5 The University has a Corporate SHE Policy which is subject to review every two years. It is a requirement that all Faculties and Services have a complementary SHE Policy which supports and underpins the key institutional SHE objectives, which is subject to regular review at intervals of not more than two years. 2.6 The central Health Safety & Environment Team is available to provide support in the delivery of training; to provide advice and assistance in the interpretation of applicable legislative standards and to assist Faculty/Service personnel in undertaking risk assessments. 2.7 All Faculties and Services are supported directly by an Area Health Safety & Environment Coordinator (ASHEC), as required by the University SHE Policy, who has received a range of health and safety training which is in proportion to the departmental risk. This training will normally have included risk assessment training. Page 4 of 14

5 3.0 Procedural Arrangements 3.1 There is no legally fixed method of recording risk assessments, it is expected that they are designed to be suitable for purpose and effective communication. Methods include:- Standard 4 box proforma. University Generic risk assessment pro-forma as shown in Appendix 1. Standard Operating Procedures (SOP s). Task instructions. Safe Systems of Work (SSW). Laboratory instructions / worksheets. Or any other relevant approach. However it is recommended that the generic risk assessment template provided in the Appendix 1 is used. 3.2 Further to the risk assessment process, Risk Mapping is a process which enables Faculties and Services to identify and prioritise, those activities and work areas which have not been subject to rigorous and systematic risk assessment processes and for which there are insufficient control mechanisms in place. The map allows you to visualize risks in relation to each other, gauge their extent, and plan what type of controls should be implemented to mitigate the risks. Faculties and Services are required to use the risk mapping tool, provided in Appendix It is essential that Faculties and Services are fully aware of the specific hazards which they are responsible for. In these cases, the legislative framework normally defines the elements to be included within the risk assessment, the applicable standards and the range of effective controls which would normally meet legislative requirements. 3.4 The outcomes of the risk management process should be recorded in writing and used in the development of Faculty, Service and Corporate policies and procedures. They also assist in determining the level and priority of resource allocations. 3.5 Faculties and Services should review risk assessments on an ongoing basis, every three years as a minimum and/or when there is reason to believe that the original assessment is no longer adequate for example when an accident or incident has occurred, or when there have been changes in personnel or process, where individuals who may be considered specifically at risk such as a pregnant employee, young person, epilepsy are involved. 3.6 The University has an established health, safety and environmental audit system based on the Universities Safety and Health Association (USHA) safety management standard ( Health And Safety MAnagement Profile - HASMAP) this embeds Health & Safety Executive Guidance Successful Health and Safety Management, HSG 65. The central HSE team will undertake periodic HASMAP audits of compliance in each Faculty and Service and report annually to the Board of Governors. 3.7 A specific risk assessment template is used when assessing the following: Control of Substances Hazardous to Health (CoSHH) Display Screen Equipment (DSE) Provision and Use of Work Equipment (PUWER) Manual Handling Page 5 of 14

6 RRO (Fire Safety) and Dangerous Substances & Explosive Atmospheres (DSEAR) Genetically Modified Organisms Control of Asbestos at Work Noise Vibration Please refer to the central HS&E team for further advice on the above. 3.8 To enable a suitable and sufficient assessment of risk, it is recommended that a team approach be adopted, utilising a broad range of competencies and skills in the assessment of risk including key competent personnel, who understand the tasks, activity, processes undertaken on-site. 3.9 External competency and support may be obtained from our insurers and other professional and commercial bodies, where specific examination and assessment of plant, equipment and environmental conditions are required Training in risk assessment methodology is available via the University Staff Development Programme. This training is considered essential for effective implementation of a risk assessment regime. Training in H&S Management principles and practices is also available through the central HS&E Team. 4.0 Associated Documents 4.1 This guidance is related to a number of other University Health and Safety policy statements, procedures and guidance and should be read in conjunction with them. The following documents are relevant: A-8 Auditing of Health, Safety & Environment C-2 Safe Working with Chemicals N-1 Noise At Work H-1 Handling Loads 4.2 Further information and guidance is available from the following sources:- Risk Assessment 5 Steps to Risk Assessment (PDF) downloadable at Management of Health and Safety at Work Regulations 1999: ACOP & Guidance (L21) Principles of Health and Safety at Work IOSH Publishing Essential information and advice may be downloaded free (from the free publications section ) from the HSE web-site ( ) and other sector specific sites. (e.g. CoSHH Essentials, British Standards Institute) Many documents specific to the management of discrete hazards (e.g. CoSHH, Asbestos, Noise etc.) include references to the particular factors and the methodology to be adopted when undertaking a risk assessment to control the identified hazards. Page 6 of 14

7 Appendix 1 RISK ASSESSMENT TEMPLATE 1) FACULTY / SERVICE.. ASSESSOR SIGNATURE:..... DATE RE-ASSESSMENT DATE... 2) BRIEF DESCRIPTION OF TASK / PROCESS / AREA 3) WHAT HAZARDS ARE PRESENT, WHICH COULD RESULT IN SIGNIFICANT HARM HAZARD Checklist 1 Slips, trips and falls Movement of people Use of tools and equipment Obstructed means of access 2 Electrical hazards Obstructed means of egress Sources of heat or ignition Overcrowding 3 Use of hazardous substances* Lack of instruction Noise Lack of supervision 4 Dust and fumes Stress Micro-organisms Use of sharps / glassware 5 Mechanical hazards (entanglement, entrapment) 4) WHO MIGHT BE HARMED AND HOW? WHO / HOW MANY? STAFF (academic, technical, clerical, manual, professional) Other staff - please state: NO. How might they be harmed? STUDENTS (undergraduate, postgraduate) NO. OTHERS (Contractors, visitors, members of the public) Please state: NO. Note: Those hazards marked * require more specific assessment documentation. See your Faculty / Service ASHEC (Area Safety, Health & Environment Co-ordinator) for details Page 7 of 14

8 5) EXISTING CONTROLS CONTROLS Checklist 1 Information and instruction Staff / student training 2 Safe system of work (specify) Personal protective equipment (specify) 3 Safety technology ( RCD, guarding, sensors, ) Local exhaust ventilation, fume cupboards 4 Planned preventative maintenance Inspection and testing regimes 5 Routine monitoring / supervision 6) ASSESSMENT OF RISK ( INDICATE YOUR ASSESSMENT BELOW ) CONSEQUENCES OF HARM ( VERT) Likelihood of Harm Occurring (HORIZ) 1 Minor injury 1 Highly unlikely, not known to occur 2 Over 3 day injury /occupational illness 2 Remote possibility, but known to have occurred 3 Serious injury / Temporary incapacity /occupational disease 3 Can occur, can be reasonably foreseen 4 Loss of limb or eye/ Permanent disability / fire 4 Likely to occur, previous history of such events Now use the grid below to determine the overall assessment of risk Severity Likelihood Minor injury Lost time injury (>3 days) Occ illness Serious Injury temporary incapacity Occ disease Major injury permanent disability/ Loss of limb or eye/ Fire Fatality Explosion Toxic release Highly Unlikely Remote Can occur Likely Highly Likely Page 8 of 14

9 1 2 Insignificant No action needed 3 4 Low risk Continue to monitor the work activity 5 9 Medium risk Identify additional cost effective measures to reduce risk, implement and monitor High risk Unacceptable: Identify additional controlsimplement and review assessment ASAP Very high risk Intolerable: Stop activity-identify additional 7) ADDITIONAL CONTROLS REQUIRED 1 CONTROLS By who By When 2 Note: This risk assessment must be updated as necessary. For example in the aftermath of an incident or after changes in personnel or the nature of the activity. This document can be obtained from the Human Resources website, Docushare, by contacting the HS&E Team in Human Resources. Page 9 of 14

10 Manual Handling Slips, trips & falls Working at height Moving vehicle Electrical Moving Machinery Parts Extreme temperature Pressure System Confined Spaces COSHH chemical / biological Flammable materials Ventilation / heating Noise / Vibration Environmental Assault / violence Safeguarding / Young Person Lone Worker Environmental Lack of organisation / procedure Lack of supervision Lack of training Risk assessment not yet done Other (specify) Appendix 2 - Table 1 - Risk Map Faculty / Service: Year: Risk Type Activity / Area / Equipment Comment Summary Risk Level Example 1: Facilities maintenance of high level building lights Example 2: Carry out a social survey of local residents in location X Example 3: Carrying of solvent waste in laboratories Expectant mother risk assessment also required Page 10 of 14

11 Manual Handling Slips, trips & falls Working at height Moving vehicle Electrical Moving Machinery Parts Extreme temperature Pressure System Confined Spaces COSHH chemical / biological Flammable materials Ventilation / heating Noise / Vibration Environmental Assault / violence Safeguarding / Young Person Lone Worker Environmental Lack of organisation / procedure Lack of supervision Lack of training Risk assessment not yet done Other (specify) Risk Type Activity / Area / Equipment Comment Summary Risk Level Page 11 of 14

12 Manual Handling Slips, trips & falls Working at height Moving vehicle Electrical Moving Machinery Parts Extreme temperature Pressure System Confined Spaces COSHH chemical / biological Flammable materials Ventilation / heating Noise / Vibration Environmental Assault / violence Safeguarding / Young Person Lone Worker Environmental Lack of organisation / procedure Lack of supervision Lack of training Risk assessment not yet done Other (specify) Risk Type Activity / Area / Equipment Comment Summary Risk Level KEY: Risk Level Low Medium High Very High Guidance Note: The purpose of the Risk Map is to provide a summary and estimated snapshot of the status of HS&E risk management within each Faculty or Service. By providing condensed visibility of such information, the Risk Map can enable Managers, ASHECs and others to manage HS&E risks more effectively through improved targeting and resourcing of the Faculty s or Service s efforts. Page 12 of 14

13 The following process should be followed in order to complete the Risk Map: (1) List all significant activities, areas and equipment relevant to the particular Faculty or Service. (2) Highlight the significant risk types in the relevant boxes above. Where risk assessments have been completed then the information already gained should be used for the purposes of completing the Risk Map. Where no risk assessment for a particular activity, area or piece of equipment has yet been carried out then an estimate of the likely risk types should be made. (3) Add any relevant comments, especially if the other risk type has been highlighted. (4) Finally, apportion a summary risk level for that particular activity, area or item of equipment, using the colour key below. In doing so, take account of: (a) Whether or not a risk assessment has been completed in the first instance (b) Whether the risk assessment is still current or if it needs to be reviewed (c) The risk rating outcomes contained in any relevant risk assessments (d) Whether or not there are any outstanding corrective actions associated with the completed risk assessment (e) The number of such outstanding corrective actions and their associated risk ratings. Page 13 of 14

14 R-1 Risk Assessment Management Reference Number: R1 Version: 2 Date of Issue: January 2013 Date of Last Approval: May 1993 Approved by (e.g. Committee, Director, etc): Director of Human Resources Next review date: January 2016 Author/owner: Faculty/Service: Head of Health, Safety & Environment Human Resources This Policy can be obtained from the Human Resources website, Docushare or by contacting Human Resources. If you would like this Policy in larger print please contact Human Resources. Page 14 of 14