A Guide to Risk Assessment Aims and Objectives of Risk Assessment Risk assessment is undoubtedly the cornerstone of modern health and safety management. A risk assessment is simply a systematic way of establishing whether or not:- Risks are reduced to the lowest level that it is reasonably practicable to achieve, i.e. ensuring workers are sufficiently protected from harm in the most cost effective manner. Best practice is being followed. Legal standards are being met. It is a process by which hazards and risks are identified, evaluated and measures put in place to: Prevent accidents and ill-health Ensure compliance with laws Minimise economic losses that could be incurred as a result of an accident or a case of work related ill-health. Regulation 3 of The Management of Health and Safety at Work Regulations 1999 places an absolute duty on employers to carry out risk assessments. It requires that: All Employers (including Self Employed) must carry out risk assessments Risk Assessments must be Suitable and Sufficient The risk assessment considers risks to employees and others The significant findings of the assessment should be recorded in writing where the employer has 5 or more employees The assessment is reviewed and kept up to date The assessment considers risks to young persons Hazard and Risk A hazard is defined as: The inherent potential to cause injury or damage to people's health. Hazards may be categorised as Physical Hazards (e.g. trailing cables or electricity) Chemical Hazards (e.g. cleaning chemicals or fuels) Ergonomic (e.g. repetitive movements or strenuous activities) Psychological (e.g. work pressure or hours of working) A risk is defined as the: A combination of the likelihood of an occurrence of a hazardous event and the severity of injury or damage to the health of people caused by this event. There may be a number of different consequences or outcomes should a hazard not be adequately controlled: Near misses Property damage only An accident involving injury Ill-health Death A Guide to Risk Assessment Page 1 of 11 v1 01.12
The actual outcome depends largely on: The nature of the hazard The circumstances and the efficacy of any control measures in place The person involved Luck The Risk Assessment Process Risk assessment is a logical process of collecting information and making judgements against standards, often set out in law, to establish whether or not risks are adequately managed. The risk assessment and management process involves the: Identification of unwanted and uncertain future events Devising alternative strategies and evaluating their cost / risk Taking action according to the organisations decision framework How a risk assessment is carried out will depend on local legal and best practice requirements, the nature of the work or business, and the types of hazards and risks. The risk assessment process should be systematic, practical, and take account of the views of workers and their worker safety delegates who will be able to contribute practical knowledge. Risk assessment can be task based. However, it is often necessary to look at specific hazard assessments such as, transport, electrical, etc. Competence to carry out Risk Assessment Risk assessors will need to be competent in the following areas to carry out a suitable and sufficient risk assessment: Experience and training in hazard identification and carrying out risk assessments Knowledge of the process or activity being risk assessed Good communication and report writing skills Ability to interpret legislation and guidance Possess the right attitude to carry out risk assessment Carrying out a Risk Assessment There are many variations on the risk assessment process. The following system for risk assessment is described in 5 Steps to Risk Assessment IND (G) 163L, prepared by the Health and safety Executive in the UK. It is simple, easy to follow, and relevant for most general risk assessments. It involves the following five steps: 1. Look for the hazards 2. Decide who might be harmed and how 3. Evaluate the risks and decide whether existing precautions are adequate or more should be done 4. Record the significant findings 5. Review the assessment and revise it if necessary A Guide to Risk Assessment Page 2 of 11 v1 01.12
Step 1 Look for the Hazards This is arguably the most important step and workers and those in a supervisory role are often best placed to succeed in identifying hazards. There are a number of methods for identifying hazards including: Task observation. This involves watching how people work. An observation of the task or working environment can allow the assessor to identify hazards which are not well controlled. Poor working practices can also be identified. Interviewing staff. Discussing workplace hazards with workers is an extremely effective way of uncovering hazards that are not obvious. Effective questioning can reveal difficulties in working with materials and equipment and identify psychological hazards that need risk assessing. This approach is often overlooked resulting in incomplete risk assessments. Often it is the workers themselves that have the best solutions for managing these risks. Workplace inspections. A physical inspection and examination of the workplace and the equipment installed or used within it can assist in identifying hazards. However, inspections provide a snap shot in time, and some hazards may not be present all the time, or they may be difficult to see, e.g. electrical hazards, or asbestos. The risk assessor should check back over previous records of workplace safety inspections to identify other hazards. Accident, ill-health or near miss data. Reviewing what has gone wrong in the past can help identify hazards. Things that have caused accidents are hazards that need to be controlled. It is also helpful to review whether actions specified following the accident investigation have effectively controlled the hazard. Lastly consider whether there is any knowledge of accidents/near misses elsewhere in the business that might be relevant. Other information on workplace hazards can be found within the numerous safety publications and guidance that is available from the HSE and other organisations. (IOSH, Insurers, Trade Associations, BSI, etc.) Job safety analysis, Hazard and Operability Study (HAZOP) and Fault Tree Analysis are formal risk assessment techniques that are used for risk assessment in high hazard industries and apply specific methodologies for identifying hazards. Step 2 Decide Who Might be Harmed and How It is important to identify who might be at risk and also how this might occur, including: Workers, e.g. maintenance workers, cleaners, administrators, persons working in close proximity (nearby) or passing through the work area Non employees, such as agency workers, contractors, visitors and members of the public. Some workers may be particularly at risk, e.g. young or inexperienced workers, new and expectant mothers, night workers, home workers, lone workers and disabled staff. This is discussed later in this section. A Guide to Risk Assessment Page 3 of 11 v1 01.12
Step 3 Evaluate the risks and decide whether existing precautions are adequate or if more should be done In order to evaluate the risk, i.e. the likelihood of harm and probable severity of harm occurring, the following should be considered: The adequacy and effectiveness of the existing controls An estimation of the risk (likelihood and severity) What further action needs to be taken to eliminate or reduce the risk? Listing the existing control measures is essential in order to produce a baseline risk assessment, which records all the controls that have been used, to provide a complete record of risk control. Control measures will include: The elimination of risk, e.g. by substituting cash handling for BACS transfer Reduction of the risk exposure; were authorised trained persons only are permitted to be exposed to certain risks such as an electrical distribution cupboard. Isolation; Locking of all non essential hazardous access areas, such as roof voids Other Controls; Include the maintenance of fire escape routes, the training of staff ensuring that a suitable maintenance regime is in place, e.g. Emergency lighting, fire extinguishers etc. The provision of protective equipment when necessary, such as high visibility vests for fire marshals Ensuring that all staff and visitors follow dedicated rules, such as signing in and out of the premises, observing hygiene requirements etc. It will be important to comment where controls are provided, but are not adequately used, defective, or are used incorrectly. Methods of Evaluating Risks Qualitative risk assessments are those that record the detail and judgements about hazards and controls against standards. The detail is required to establish what further workplace precautions are required to satisfy legal standards. Semi quantitative include numerical data, which allows the risks to be ranked. The risk ranking can help to prioritise the order in which action should be taken. Quantitative risk assessments go further and determine actual probabilities of harm occurring. The following is a simple semi-quantitative method for evaluating risks: A severity rating is then multiplied by the likelihood rating to arrive at the relative risk ranking for each hazard. This gives a number on a scale of 1 to 9. A Guide to Risk Assessment Page 4 of 11 v1 01.12
Severity of harm Slight (1) Serious (2) Major (3) Low (1) 1 2 3 Likelihood of harm Medium (2) 2 4 6 High (3) 3 6 9 This approach is often referred to as a Risk Ranking Matrix. These numbers provide an indication of the risk and therefore the priority. The following definitions are used to assist in the assessment: The severity of harm The likelihood of harm Major Serious Death or major injury or illness causing long-term disability. Injuries or illness causing short-term disability. High Medium Where it is certain or near certain that harm will occur. Where harm will often occur. Slight All other injuries or illness. Low Where harm will seldom occur. The risk ranking exercise can also ensure a consistency in the approach to taking action. 6 or 9 High risk and may require considerable resources, e.g. special equipment, training, high levels of supervision, and consideration of the most effective methods of eliminating or controlling hazards. 2, 3 or 4 Significant risk and will require an appropriate level of resources to control the risk. 1 Low risk but reasonable actions should still be taken to try to further reduce these risks, if possible. Risk ranking methods only provide an indication of relative risk, based on subjective judgement. They should be used to prioritise action, not to decide what further control measures to introduce. Employers must satisfy themselves that the risk assessment and the actions taken to deal with the hazards are adequate. A Guide to Risk Assessment Page 5 of 11 v1 01.12
Acceptable vs. Tolerable Risks The aim of risk assessment is primarily to protect people from harm but no job can be free from risk. There will always be some residual risks, such as there are in everyday life. An acceptable risk is where the levels of risk are comparable to those that people regard as insignificant or trivial in their daily lives. The risk of harm is insignificant without any workplace controls, or is adequately reduced following the introduction of control measures. However some people are prepared to take a risk in order to gain benefit. The benefit may be financial reward, additional time, recognition or some other tangible benefit. Tolerable Risks are typical of the risks from activities that people are prepared to tolerate in order to secure benefits. However those who tolerate the risks expect that: The risks have been properly risk assessed The risks have been reduced as far as is reasonably practicable The risks are reviewed periodically or upon the introduction changes Many countries require in their laws that risks are reduced to tolerable levels. However it should be aim of all employers to reduce risks to an acceptable level. By doing so it will be likely that workers will not feel insecure about their Health and Safety and will be productive and content knowing their employer has reduced risks to everyday levels. Control Measures Wherever possible, hazards are eliminated through careful selection and design of facilities, equipment and processes. If hazards cannot be eliminated risks will need to be minimised by physical controls, e.g. use of an anti-slip floor surface. Systems of work are used as a last resort because these depend upon people to use them, and use them correctly. Often risk assessors are faced with a number of possible options to reduce risks. There are a number of factors to consider when selecting the most appropriate risk control approach. One of the things we should consider is whether we can apply the Hierarchy of Control. A Guide to Risk Assessment Page 6 of 11 v1 01.12
Eliminate the hazard. Reduce the risk, e.g. using 110V electrical equipment instead of 240V. Safe Place Isolate the people from the hazard, e.g. using fencing or guards. Control the extent of exposure or contact with the hazard by engineering means, e.g. using a RCD, and by changing work patterns or methods, e.g. limiting the time, frequency and number of persons exposed. Personal protective equipment, e.g. wearing a hard hat. Discipline, e.g. obtain compliance with rules and following procedure. Safe Eliminating the hazard is the most effective means. Personal protective equipment should not be relied upon as a primary control since it fails to danger (i.e. puts the wearer at risk in the event of failure of the equipment) and requires careful fitting and use by the operator. Risk assessors should select risk control measures as far up the hierarchy of control as is reasonably practicable. Priority should be given to those measures which safeguard everyone Step 4 Record the Significant Findings Employers should record the significant findings of the risk assessment, including: Significant hazards People affected Adequacy of existing controls The extent of the risk Further actions required References to other documents used in the assessment The term significant indicates that trivial hazards and risks can be ignored. Risk assessments should be available or retrievable for use by management, employee health and safety representatives and Enforcing Authorities. The assessments may cross-reference other documents and records, e.g. noise, manual handling, radiation, display screen equipment, hazardous substance assessments; safe systems of work; monitoring arrangements such as lifting equipment inspections, pre-start guard checks, etc. Where further action is required following the assessment then reference to, or the inclusion of, an action plan based on priorities and set to timescales should also be included. Each employer is allowed to devise it s own format for recording risk assessments. An example of a format is available from the HSE website (www.hse.gov.uk). A Guide to Risk Assessment Page 7 of 11 v1 01.12
What is meant by Suitable and Sufficient? The risk assessments should suitable and sufficient. This implies they should be done to an appropriate standard. The level of complexity and detail should be appropriate to the nature of the business. An oil refinery will require far more detailed and complex assessments than an office. However whatever the risks, the recorded assessment should: Identify all significant hazards & risks Identify all persons at risk Enable priorities to be set Ensure that all aspects of work activity are reviewed. Identify the necessary risk control measures required Be appropriate to the nature of the work Be valid over a reasonable period of time Be undertaken by competent people Step 5 Review the Assessment and Revise it if Necessary Risk assessments will need to be reviewed if there is a significant change, or if there is any reason to suspect that it is no longer valid, including: An accident, ill-health, near miss or dangerous occurrences, etc. New equipment has been introduced Changes to equipment, plant and processes Changes in personnel Changes in legislation As a result of monitoring or audit As a result of advice or action by the Enforcing Authority or insurance company New information becomes available Improved control measures become available The involvement of young persons, new or expectant mothers or disabled persons A specific period of time has elapsed, thus indicating the need for a periodic review Special Cases for a Risk Assessment Young Persons A young person at work is someone who has not reached the age of 18. Young people are at greater risk whilst at work for the following reasons: Lack of knowledge, experience and / or training A young person s body has not fully developed A young person may be more likely to: o Take risks o Respond to peer group pressure o Be over enthusiastic (excited) A Guide to Risk Assessment Page 8 of 11 v1 01.12
Before employing a young person, a risk assessment should be completed to identify control measures needed to minimise health and safety risks specific to the young person. It should consider: The workplace where the young person will work Physical, biological and chemical agents The work equipment The organisation of work and the processes involved Health and safety training Risks from particular: o Agents o Processes o Dangerous work If a significant risk remains after control measures have been introduced, the risk assessment will determine whether the work of young persons should be restricted, or whether the young person must not be employed to do the work. Young people should not be employed to do work which: 1. Is beyond their physical or psychological capacity 2. Exposes them to substances chronically harmful to human health, e.g. those which are known to be either toxic or carcinogenic, or to have effects likely to be passed on genetically, or likely to harm the unborn child. 3. Involves a risk of accidents which they are unlikely to recognise because of, e.g. their lack of experience or training. 4. Involves a risk of accidents which they are unlikely to recognise because of, e.g. their lack of experience or training. 5. Involves a risk to their health from extreme heat, noise or vibration. Exceptions to the above may be made where young workers are doing work necessary for their training, under proper supervision by a competent person, providing the risks are reduced to the lowest level. Control Measures The following control measures may be required: Induction training Close supervision or mentoring by an experienced responsible fellow worker Specific health surveillance (observation) Clear lines of communication Restricting the type of work carried out Restricting the hours worked Other factors that should be considered when employing young persons would include: Any statutory restrictions on young persons carrying out certain activities, e.g. driving Ensuring that any PPE which is required is suitable for their size, shape, etc. Insurance requirements. A Guide to Risk Assessment Page 9 of 11 v1 01.12
New and Expectant Mothers Once an employee has notified her employer that she is pregnant a specific risk assessment should be carried out, taking into account any medical advice received on the health of the employee. The risk assessment should include risks to the unborn child or the child of a woman who is still breastfeeding. New and expectant mothers (an employee who is breast feeding or has given birth within the previous 6 months or is pregnant) are at risk for the following reasons: The unborn child or the nursing child may be affected by physical and biological hazards. The mother may be more affected by physical, biological and workplace hazards due to changes in the body. Potential health and safety risks include: Physical risks, e.g. ergonomic postures such as prolonged standing, or awkward body movements required when working with display screen equipment, etc., extremes of temperature, manual handling, (ionising and non-ionising). Chemical agents, e.g. pesticides, lead, those that cause changes to human body cells (mutagens), and those that affect the unborn baby (toxic for reproduction). Biological agents, e.g. infectious diseases may place the mother s body under strain causing harm during the child s development. Some may bring on premature birth or cause miscarriage. Examples of harmful biological agent include hepatitis, rubella and Chlamydia aboretus. Working conditions, e.g. violence, stress, working hours causing mental and physical fatigue and lone working. Apart from the potential risks, there are other aspects of pregnancy that may affect work such as: Morning sickness and headaches Backache Varicose veins Haemorrhoids Tiredness Increasing size Frequent visits to toilet Balance Comfort Reasonable adjustments to working conditions and work practices can be made to reduce risks including: Exclusion from work. Alteration of working hours and work patterns Prohibition from lone working Increased frequency of breaks Adjustment of workstation (e.g. desk and chair) to accommodate mum s changing shape Improved access to welfare facilities including somewhere to lie down The provision of air conditioning The provision of lifting aids or other assistance with lifting tasks A Guide to Risk Assessment Page 10 of 11 v1 01.12
Disabled Workers Risk assessments should take into account the needs of all persons affected by the work, including disabled workers. Care should be taken to ensure the health and safety of disabled workers is not put at risk, especially in an emergency. In addition to the hazards from the particular work being done, disabled workers may be at greater risk from the following: Reduced mobility for safe access and egress and emergency evacuation Ability to access welfare facilities Reduced sensory input to recognise hazards and emergencies, e.g. hearing, eyesight Reduced communication ability, e.g. speech, hearing or eyesight Reduced ability to lift, carry or move objects Ergonomic hazards, e.g. reach distances The laws in many countries make it unlawful to discriminate against anyone, employee or customer, on the grounds of disability. Employers should make reasonable adjustments to ensure disabled workers can access jobs, and disabled customers can access the goods or services provided. Disabled workers should be consulted when making decisions about how to reduce the risks and competent advice must be sought wherever necessary. A Guide to Risk Assessment Page 11 of 11 v1 01.12