Assessment Procedure for Significant Risks
This form is to be used to record significant risks not covered by any of your departmental generic risk assessments. (If all the work is covered by
generic assessments there is no need to continue any further with this document.)
The assessor should assign values for (a) the level of harm (hazard severity) that could result from using the hazard, and (b) the likelihood of it
occurring (taking into account the frequency and duration of exposure) on a scale of 1 to 5, then multiply them together to give the rating band:
Degree of Harm
(A)
(B)
Likelihood of Occurrence
1 – Trivial
(eg discomfort, irritation, slight bruising, self-help recovery)
2 – Minor
(eg small cut, burn or abrasion, basic first aid need)
3 – Moderate (eg strain, sprain, infection, poisoning, incapacitation > 3 days, fire)
4 – Serious (eg fracture, hospitalisation >24 hrs, incapacitation >4 weeks, severe
damage to building)
5 – Fatal
(single or multiple)
1 – Remote
2 – Unlikely
3 – Possible
4 – Likely
5 – Very likely
(almost never, not expected at all)
(foreseeable, but only occurring rarely)
(could occur, but uncommon)
(recurrent but not frequent)
(could occur frequently)
The risk rating (high, medium or low) indicates the level of
response required to be taken when designing the action plan.
Risk Assessment Matrix
(B)
(A)
Risk Rating Bands (A x B)
Trivial
Minor
Remote
1
2
3
4
5
Unlikely
2
4
6
8
10
Possible
3
6
9
12
15
Likely
4
8
12
16
20
Very likely
5
10
15
20
25
generic-RA-biological-agents-2013-v2
Moderate Serious
Fatal
LOW RISK
(1 – 8)
MEDIUM RISK
(9 - 12)
HIGH RISK
(15 - 25)
Continue,
but review
periodically to
ensure controls
remain effective
Continue,
but implement
additional reasonably
practicable controls
where possible and
monitor regularly
STOP THE ACTIVITY
Identify new controls.
Activity must not proceed
until risks are reduced to a
low or medium level
Page 1
Generic Risk Assessment for biological agents
Drafted by Pete Jewell
Location of activity:
July 2013
Policy and guidance for various hazardous biological agents is available at the UHS&E website (http://www.bath.ac.uk/hr/stayingsafewell/index.html) and the ‘1st
Stop for Health & Safety’ wiki at https://wiki.bath.ac.uk/pages/viewpage.action?pageId=73829286.
This risk assessment only covers work with hazardous biological agents. Any other significant hazards involved in the work activity must also be assessed in
more detail using one of the more specialised generic, or specific, risk assessments available on the wiki.
Once complete, all relevant workers must be informed, and their supervisor/manager must record their agreed ‘competence’ level (e.g. using a ‘supervision level’ of ‘low’,
‘medium’ or ‘high’) and get them to sign below.
Date when will the
activity is to start:
Date when it is
likely to finish:
Assessor(s)
names(s):
Supervisor(s):
Signatures
of
Date:
Date of drafting
assessment:
Safety
Coordinator:
Date:
Roughly how
often will it be
performed?
Review date:
Head of
Department;
Date:
Supervision level. (Complete this after assessment is printed.) Supervisors and workers must jointly agree worker’s supervision level, defined as follows;
 'LOW' - Workers are deemed to be adequately  'MEDIUM' - Activity cannot commence
 'HIGH' - Activity cannot commence or
proceed without direct senior supervision.
trained and competent to perform this activity.
without supervisor’s advice and approval.
Worker’s name
generic-RA-biological-agents-2013-v2
Worker’s signature
Supervision
level
Supervisor’s name
Supervisor’s signature
Date
Page 2
For help with the management of biological agents contact the relevant specialist via UHSE@lists.bath.ac.uk. .
Specific risk assessments must be made for work;
 with prions or adenovirus
 with ACDP hazard group 3 or 4 agents for which HSE notification is required (some other specified pathogens cannot be used without Home Office authorisation). Refer
to the ACDP Approved list.
 with any pathogen of plants or animals (or environmental samples which might contain them) for which authorisation from FERA is required
 with any genetically modified organism (GMO). Individual GM projects and personnel must be authorised by the University GM Safety Committee (contact
gm@lists.bath.ac.uk)
 with infected animals (infected with pathogenic organisms including zoonoses)
 with toxins produced by biological agents (toxins are chemicals – refer to the generic risk assessment on the wiki)
 involving large scale culturing (>5 litres) of liquid cultures
 with Manduca moths, locusts, small mammals, nematode worms or wild birds (refer to Departmental Safety Coordinator)
General Risk Control Measures.




Completion of departmental safety induction is mandatory for lab workers.
Lab coats must be worn by all workers in “wet” laboratories.
Food or drink must not be consumed or stored in “wet” labs.
Good standards of personal hygiene must be maintained at all times. Hand-toface operations must be avoided. Hands must be washed when leaving lab.
 Mouth pipetting or the use of mouth-operated suction devices is prohibited.
 POWDERED LATEX GLOVES ARE PROHIBITED IN THE UNIVERSITY. Lowprotein, non-powdered latex and nitrile disposable gloves (to EN374-2 and EN3743 Standard) should be available for use in laboratories.
 To avoid contaminating door handles and light switches lab gloves should not be
worn outside labs. If necessary use one glove to carry lab items.
 All laboratories must maintain an inventory of any ‘dual-use’ materials to help with
audits. This inventory must be checked at least annually.
Spillages should be dealt with as soon as possible.
If aerosols of hazardous agents may be present consider vacating the area to leave it to settle or dissipate before effecting decontamination.
Decontaminate with appropriate liquids or powders (such as 70% alcohol, dilute hypochlorite (bleach) or Virkon), and clear up. Biological spillages may need disposal via
autoclaving and if you are not sure how to dispose of any hazardous waste please contact your Technical Manager or email waste@lists.bath.ac.uk. If you are not sure
SEEK ADVICE.
First aid. For chemical spillages on body surfaces (exposed skin and eyes) the main aim must be to remove contaminating material as soon as possible. This is almost
invariably achieved by flushing the affected area with cold tap water for up to 15 minutes. Each “wet” lab should have a hand-held emergency shower by each hand-wash
basin adjacent to exit doors. (Additional advice on first aid treatment should be included in any specific risk assessment.)
Where specific first aid treatment should be considered (e.g. when using cyanides or phenol) it must be detailed in the specific risk assessment involving those agents.
For needlestick injuries, encourage the wound to bleed, rinse the wound site under cold water and follow any guidance given in specific risk assessments.
Minor cuts can be treated locally. Basic first aid materials (adhesive wound dressings) should be readily available.
For any injury at work, if irritation persists then you should seek medical attention.
If your injury cannot be controlled then you should report to your GP, the University Medical Centre (200 metres to the west of the Building 2 South), the NHS Walk-in Centre
in Bath or the Accident and Emergency unit at the Royal United Hospital in Bath.
For emergency help the University internal telephone number 666 should be used. University Security staff are trained first aiders. A list of departmental or building first
aiders should be displayed in departments.
Incident reporting mechanisms. Injuries (even minor ones) dangerous incidents, and hazards should be reported on the A4 Incident report forms, available
online at http://www.bath.ac.uk/hr/stayingsafewell/accidents-emergency/docsaccidentsandemergencies/Incident_report_form_V2.docx.
generic-RA-biological-agents-2013-v2
Page 3
Particularly vulnerable groups at
risk
How could they be harmed?
Risk before
controls
implemented
A
B
Control measures needed to minimise risk
A
AxB
Inexperienced workers (including
undergraduate students, school pupils
on “work experience” schemes and
visitors).
By skin/eye contact, inhalation,
ingestion.
5 4 20
Supervisors must ensure all lab workers are provided with –
a. Pertinent information.
b. Competent instruction.
c. Basic safety induction training.
d. Relevant training for specialised tasks.
e. Appropriate supervision.
f. Suitable and sufficient risk assessments.
Workers in a support role (technicians,
lab assistants, porters) who need to
clean surfaces or dispose of waste
materials.
By contacting contaminated
surfaces or inhaling aerosols.
5 3 15
 Ensure effective decontaminant solutions are available,
workers know how to deal with spillages and that spills
are cleaned up immediately.
Pregnant women (and their unborn
child).
By being exposed to some
specific biological agents
capable of harming an unborn
child.
5 3 15
 Pregnant women must inform her supervisor or HR
manager of her pregnancy.
 Supervisor must perform specific risk assessment.
Persons with a history of particular
medical conditions such as allergies
to lab animals or latex, respiratory
disorders, or those with skin conditions
such as eczema, or those who have
compromised or suppressed immunity
through existing disease or medication
By exposure to some agents
capable of sensitising workers
or exacerbating their condition.
5 3 15
 If worker is aware of a particular sensitivity they must
declare this to their supervisor or HR manager.
 Supervisors must identify work with known sensitisers,
compile a risk assessment and request HR refer workers
to the OH provider.
 Supervisor must perform specific risk assessment.
Workers taking tissue (or blood) from
themselves or lab colleagues.
By reintroducing transformed cells
into the donor (possibly via
aerosol) it would not be
recognised as ‘foreign’.
5 4 20
 Such work is prohibited
generic-RA-biological-agents-2013-v2
Risk after
controls
implemented
B
Page 4
AxB
Hazard
Who could
be
harmed?
The propagation or culturing
of biological agents, especially
those that are pathogenic.
Carrying out
activities
or
processes which may produce
aerosols of biological agents
(including loading API strips
and ELISA/microtitre plates).
Handling sharp instruments
such as hypodermic needles,
scalpels, razor blades, broken
glass or jagged metal which
may be contaminated.
Work with large quantities (e.g.
> 5 litres) or high titres of
biological agents.
Workers and
those in the
vicinity
Work with tissues from a high
risk population or infected
source
or
unscreened
human or animal samples.
Work with cell lines or strains
that
are
not
fully
characterised, which are
derived
from
high-risk
sources or which may be
contaminated
with
adventitious agents.
The presence of unprotected
wounds,
abrasions
or
scratches on the hands, arms
or face which may come into
contact or be splashed with
blood,
blood-contaminated
articles or pathogenic cultures.
Worker
generic-RA-biological-agents-2013-v2
How could they
be harmed?
Risk before
controls
implemented
A
A
AxB
Inhalation,
ingestion, contact
with mucous
membranes.
5 3 15
Inhalation, than
ingestion.
4 3 12
Puncturing the skin
with contaminated
item.
4 3 12
Larger volume work
increases the risk.
4 3 12
Becoming infected
with diseasecausing agent
(such as bloodborne virus).
5 4 20
Becoming infected
with diseasecausing agent.
5 3 15
Wound becoming
infected with
disease-causing
agent.
4 4 16
Control measures needed to minimise risk
Risk after
controls
implemented
A
B
AxB
 All Any person working with genetically modified organisms (GMOs)
must be authorised by the University GM Safety Committee (via the
Biological Safety Officer) and follow relevant ‘Local Rules’ for GM
work.
GM projects must be similarly approved.
Contact
gm@lists.bath.ac.uk
 Avoid working with a viable pathogenic organism where possible or
use the organism of least hazard consistent with the proposed
work.
 Assign a hazard group (1 to 4 according to the ACDP criteria - refer
to the ACDP Approved List) to infectious biological agents and only
work in laboratories or rooms with the containment level and
measures appropriate for that group.
 Ensure that appropriate storage, use, disposal and emergency
procedures have been established before ordering any hazardous
biological agent.
 Ensure you are using specified (and validated) decontaminant
solution for microbiological spillages.
 Carry out manipulations or activities likely to generate an aerosol
only in suitable microbiological safety cabinet (Class I for operator
protection or Class II for operator and product protection, as defined
by BS 5726:2005).
 Avoid the use of sharp objects or implements where possible. If
unavoidable make sure that they are put into appropriate punctureresistant containers for safe disposal.
 Wear protective clothing (properly fastened laboratory coat and
safety spectacles). Suitable and/or additional eye/face protection
may also be necessary. Wear disposable gloves when handling
infectious or contaminated material.
Examine all personal
protective clothing and equipment before use and replace any that
are damaged or likely to be ineffective.
 Avoid hand to mouth/eye/face contact and thoroughly wash your
hands before leaving the lab.
 Do not eat, drink, smoke, apply cosmetics or manipulate contact
lenses in any “wet” laboratories or store-room where biological
agents are kept or used.
Page 5
Hazard
Work with agents known to be
drug-resistant or which have
been genetically modified so
that they are intentionally
drug-resistant.
Work with free plasmid DNA,
particularly if it encodes
oncogenic proteins and is
designed for expression in
mammalian cells.
Who could
be
harmed?
How could they
be harmed?
Worker, and
people in the
community
Becoming infected
with diseasecausing agent
proving difficult to
treat.
Worker
Potential for
cancers to develop.
Risk before
controls
implemented
A
A
AxB
5 3 15
5 3 15
Possible carcinogenic effects
caused by oncogenic viruses.
5 3 15
Physical damage caused by a
biting or scratching animal.
Workers and
those in the
vicinity
Bites, possibly
becoming infected.
5 3 15
Work with agents, especially
parasites,
which
have
variable
life-cycle
pathogenicity.
Worker, and
people in the
community
Contracting a
disease caused by
pathogenic stage of
organism.
5 3 15
Toxic
effects
caused
by
microbial, animal or plant
toxins.
Worker
Ingestion or
skin/eye contact.
5 3 15
generic-RA-biological-agents-2013-v2
Control measures needed to minimise risk
Risk after
controls
implemented
A
B
AxB
 Do not mouth pipette or use mouth-operated suction devices to
transfer culture media or any fluids.
 Decontaminate benches and other surfaces that may be
contaminated at least once a day and whenever a spill of viable
material has occurred. Keep freshly-made stocks of suitable
disinfectant available within the laboratory.
 On a frequent basis, routinely replace the water in, and clean, water
baths. This is also essential when a spillage of viable organisms or
nutrient media has occurred.
 Place all infectious or contaminated microbiological waste in
suitable containers for autoclaving or for soaking in decontaminant
solutions. Human or animal wastes for incineration must be
securely stored frozen in colour-coded plastic bags prior to
despatch.
 Do not remove infectious or contaminated material from the
laboratory to another area unless it is suitably packaged (double
containment) in a sealed and labelled container. Disposable waste
should be transported to the decontamination autoclave in closed
bags inside the plastic holders designed for the purpose.
 Infectious materials may be centrifuged in the open laboratory if
sealed rotors or sealed buckets are used and if these are opened
only in a functioning microbiological safety cabinet.
 Immunisation and regular booster injections should be provided if
appropriate as a supplementary safety precaution for those who
may be exposed to pathogenic micro-organisms.
 Collect biological waste in suitable labelled containers for removal to
the autoclave. Advice on any aspect of waste disposal can be
sought from waste@lists.bath.ac.uk
Page 6
Action Plan for additional control measures needed.
Do any stated control measures need to be implemented before this activity can take place?
Action Plan in respect of actions:
Ref
no.
Prepared by:
Action to be taken, including cost
By whom
Target
date
Responsible manager’s signature:
Print name:
Review
date
Outcome at review date
Responsible manager’s signature:
Date:
Print name:
Date:
Assessment must be reviewed annually by responsible manager.
generic-RA-biological-agents-2013-v2
Page 7