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RISK ASSESSMENTS (GENERAL) POLICY AND GUIDANCE
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Health & Safety Unit 2012
CONTENTS
Policy Statement
3
Legal Framework
3
DEFINITIONS
Risk Assessment
3
Hazard
3
Risk
3-4
Competency
4
Suitable and Sufficient Assessment
4
CARRYING OUT THE ASSESSMENT
Step One - Look For Hazards
5
Step Two – Decide Who Might be Harmed and How
5
Step Three – Assess The Risks
5
Step Four – Record Assessment Findings
5-6
Step Five – Assessment Review
6
Hazard/Risk Control
6-7
Evaluating Risk and Setting Priorities
7-8
APPENDICES
1
Risk Assessment Flow Chart
9
2
Sample Risk Assessment Form
10
3
Hazard Check Lists
11-12-13
14-15-16
2
RISK ASSESSMENTS (GENERAL) POLICY AND GUIDANCE
It is the policy of the University that a risk assessment is carried out in respect to all
activities, processes and substances and that it is regularly reviewed and documented
where necessary. This responsibility rests with Deans/Directors/Heads as stated in the
University’s Health & Safety Policy and Organisation document (revised 2010).
Deans/Directors/Heads should also nominate competent staff to carry out these
assessments.
LEGAL FRAMEWORK
The University has a responsibility under S2 and 3 of the Health & Safety at Work Act 1974
to ensure, so far as is reasonably practicable, the health and safety of employees and other
persons (students, visitors, contractors, etc.) who may be affected by the work activity. The
Management of Health & Safety at Work Regulations 1992 further amplify this duty and
impose a specific requirement upon the University to carry out a ‘suitable and sufficient’
assessment of all risks to the health and safety of employees and others arising at or from a
work activity. Furthermore, all modern legislation now contains a duty to carry out risk
assessments for specific types of hazards such as those associated with substances,
electricity, noise, manual handling, VDU work, etc. The purpose of this document,
therefore, is to:
(a)
Provide guidance to enable Schools/Services to comply with risk assessment duties as
required by relevant law.
(b)
Introduce a structured, systematic and pro-active approach to the management of
risk.
(c)
Outline the five principal steps to risk assessment.
DEFINITIONS
RISK ASSESSMENT: A structured and systematic procedure for identifying hazards and
evaluating risks in order to prioritise decisions to reduce risks to an acceptable level.
HAZARD: Something with the inherent ‘potential to cause harm’.
substances, machines, methods of work or work organisation.
This can include
RISK: Is the chance, great or small, that someone will be harmed by the hazard. The
magnitude/scale of the risk is measured in terms of its consequences, frequency and
severity. It can be expressed as:
RISK  HAZARD SEVERITY X LIKELIHOOD/PROBABILITY OF OCCURRENCE
HAZARD AND RISK : TWO EXAMPLES
Two men are five metres up identical ladders. The hazard of falling off is the same for both
men. However, Bill’s ladder is secured, while Ted’s is not. Ted’s risk of falling is, therefore,
higher. Worse yet, Ted’s ladder is jutting out into the gangway where the forklifts go by!
3
 Take a drum of MEK solvent. MEK is flammable and harmful to health. The drum is
sealed and sitting in a flammable liquids store, so while the hazards are there, the risk of
harm is much less than when the drum is opened and an operator pours some into a
container. If the operator pours it without using gloves or goggles, the risk is even
greater. If he pours it out more than once, it is greater still.
The examples demonstrate that if precautions/safeguards are built into the work activity
the risk of harm is reduced and, in consequence, the potential severity of any injury.
COMPETENCY
Assessments should be conducted by competent staff nominated by
Deans/Directors/Heads. Assessors should have an understanding of the workplace, an
ability to make sound judgements and knowledge of the best ways to reduce those risks
identified. Competency does not require a particular level of qualification but may be
defined as a combination of knowledge, skills, experience and personal qualities, including
the ability to recognise the extent and limitation of one’s own competence.
SUITABLE AND SUFFICIENT ASSESSMENT
A ‘suitable and sufficient assessment’ as required by the Management of Health and Safety
at Work Regulations 1992 is one that:
 Correctly and accurately identifies a hazard.
 Disregards inconsequential risks and those risks associated with life in general.
 Determines the likelihood of injury or harm arising.
 Quantifies the severity of the consequences and the numbers of people who would be
affected.
 Takes into account any existing control measures.
 Identifies any specific legal duty or requirement relating to the hazard.
 Will remain valid for a reasonable period of time.
 Provides sufficient information to enable the Dean/Director/Head to decide upon
appropriate control measures, taking into account the latest scientific developments and
advances.
 Enables the School/Service to prioritise remedial measures.
If an assessment has already been carried out under any other statutory provision, e.g.
Manual Handling Operations Regulations, COSHH, Noise at Work Regulations, etc. no
duplicate action is necessary as a result of this document.
4
CARRYING OUT THE ASSESSMENT
Step 1 :
Look For The Hazards
This necessitates an inspection of the workplace to identify what could reasonably be
expected to cause harm. Ignore the trivial and concentrate only on significant hazards
which could result in serious harm or affect several people. Involve both staff and students
in this exercise because they may be aware of hazards which are not immediately obvious.
Manufacturers’ instructions, data sheets, check lists and accident records will assist in
identifying hazards.
Step 2 :
Decide Who Might be Harmed and How
Take into account staff, students, contractors and members of the public in general as well
as those people who may not be in the workplace all the time, e.g. cleaners and
maintenance personnel. Consider how such people may be harmed. Pay particular
attention to lone workers and those with disabilities since they may be more vulnerable.
Step 3 :
Assess The Risks
Evaluate the risks arising from the hazards and decide whether existing precautions are
adequate or more should be done.
Even after all precautions have been taken, usually some risks remain. Decide for each
significant hazard whether this remaining risk is acceptable. Consider whether the existing
precautions:
 Meet the standards set by legal requirement
 Comply with a recognised industry standard.
 Represent good practice.
 Reduce risk as far as is reasonably practicable.
If the answer to any of the above is ‘NO’ then consider what further precautions can be
taken to control the risk so that harm is unlikely (see hazard/risk control page 6/7).
Step 4 :
Record Assessment Findings
An assessment should be supported by accurate record keeping unless the identified risk is
trivial and the likelihood of injury is remote or that the adverse consequences would result
in a very minor injury. The significant risks only, therefore, need to be recorded. Records
should contain at least the following information:
 A description of the process/activity assessed
 Identification of the significant risks.
5
 Identification of any staff/student/visitors at particular risk.
 Date of assessment and, where appropriate, next review.
 The name of the person carrying out the assessment.
An example of a widely used risk assessment record form is provided in appendix 2; however, any
format can be used provided it follows the principles laid down in this policy.
Step 5 :
Assessment Review
An assessment must be kept up to date and reviewed periodically to ensure that it remains valid.
Factors that may necessitate an automatic re-assessment include:

A change in legislation.

A change in control measures.

Any significant change in the work carried out.

Transfer to new technology.

Any other reason to suspect that the original assessment is no longer valid or could be
improved.
HAZARD/RISK CONTROL
The selection and implementation of the most appropriate method of risk or hazard control is
crucial to any success in reducing the risk of injury or ill health to persons affected by work activities.
A hierarchy of control options are listed but it may be necessary to implement a number of these
measures in combination to adequately reduce the risk. The list is not exhaustive:

Elimination (e.g. buying ready sawn timber rather than use a circular saw).

Substitution by something less hazardous.

Total enclosure (enclose it in a way that eliminates or controls the hazard, i.e. processing
hazardous substances in an enclosed piped system).

Partial enclosure. The use of LEV systems, fume cupboards, etc.

Guarding/segregation of people.

Permit to work systems e.g. Hot work permit to control fire risks.

Reduce the period of exposure.

Written procedures that are known and understood by those affected.

Adequate supervision.
6

Adequate training/staff and students.

Information/instruction (signs, labels, handouts).

Personal protective equipment PPE
The use of PPE should be regarded as a last resort option in the absence of any more reliable or
permanent means of control.
All these measures should be considered within the overall context of achieving ‘a safe system of
work’ that reduces the risk to an acceptable level.
EVALUATING THE RISK AND SETTING PRIORITIES
The risk assessment should enable Schools/Services to prioritise remedial measures. In many cases
it will be clear that some risks require attention before others. Where there is uncertainty a risk
rating may be attributed to each identified hazard. The factors relating to severity and likelihood of
harm are given a numerical value and then multiplied together to give a risk rating which can then
be used to prioritise remedial actions.
10
8
6
4
2
1
RISK RATING SCALE
X
Likelihood/Probability
10 Certain
8
Very Likely
6
Likely
4
May Happen
2
Unlikely
1
Very Unlikely
Hazard Severity
Multiple Death
Single Death
Major Injury
Loss Time Injury
Minor Injury
Insignificant Injury
RISK  HAZARD SEVERITY X LIKELIHOOD/PROBABILITY OF OCCURRENCE
MATRIX
LIKELIHOOD
Certain
Very Likely
Likely
May Happen
Unlikely
Very Unlikely
Multiple
Death
Single
Death
100
80
60
40
20
10
80
64
48
32
16
8
SEVERITY
Major
Lost Time
Injury
Injury
60
48
36
24
12
6
40
32
24
16
8
4
Minor
Injury
Insignificant
Injury
20
16
12
8
4
2
10
8
6
4
2
1
For the purpose of risk evaluation the matrix shown above can be used to provide an initial
breakdown of the hazards into categories, follows:

Hazards with risk ratings in the unshaded area can usually be considered as trivial.
7

Hazards with risk ratings in the shaded area below the lower double line can be considered as
adequately controlled risk.

Hazards with risk ratings above the upper double line must be considered as not adequately
controlled - further controls will be required.

Hazards with risk ratings in the darker shaded areas above the upper double line will require
consideration of whether to suspend the activity until controls are introduced.

The control measures provided for hazards with risk ratings between the two double lines must
be examined against current standards and good practice to arrive at a decision as to whether
the hazard is adequately controlled or not adequately controlled.
SEVERITY OF INJURY AND ILL HEALTH DEFINITIONS
Description
Insignificant
Minor
Loss Time Injury
Major
Example
Bruising, light abrasion, etc. ‘first aid’
Burns/scalds/cuts - up to 3 days off work
More than 3 days off work – reportable under RIDDOR 1995
Serious injury/damage to health, permanent disability, loss of sight,
amputation, etc. reportable under RIDDOR 1995
It is important to note that analysing the likelihood and severity of harm is not the ‘be-all and endall’ of risk assessment. The analysis is only a systematic way of ensuring that likelihood and severity
are considered. Neither is the system illustrated above the only way of rating risk; it has been used
purely as an example.
It should be remembered that accidents and ill health cost money, whilst safety, properly
managed, saves money.
8
Appendix 1
RISK ASSESSMENT FLOW CHART
Obtain detailed knowledge of
Working practices, plant and
substances
What is the potential for harm
and what are the chances of
exposure or injury taking place?
Risks and hazards are high
Risk and hazards are low
There are significant risks and
hazards which are inherent and
unavoidable
KNOW WHAT IS GOING ON
AND WHERE
DO ASSESSMENT
CONSIDER SUBSTITUTE
ACTIVITY
MONITORING TO ENSURE
THEY STAY LOW
CONSIDER CURRENT
PRACTICE
ACCESS CONTROL
PERSONAL PROTECTION
INSTRUCTION
TRAINING
SUPERVISION
DOES THE COMBINATION LEAD TO A REASONABLE DISCHARGING
OF OUR DUTY OF CARE?
NO
Improve necessary components
until it does OR cease activity
YES
Ensure regular monitoring
9
Appendix 2
SAMPLE RISK ASSESSMENT FORM
Date:
Assessed By:
Faculty/Service:
Signature:
Activity/Process/Machines
Hazard
Building:
Location:
Room No:
Persons in
Danger
1
Circular Saw
Noise, Dusts,
Cuts, Eye Damage,
etc.
User
2
Portable Power Tool
Electricity
Work in rain/wet
Trailing cable
Vibration
User
User
People in area
User
Electricity
Tripping
Office Staff
Cleaners
Visitors, etc.
3
Trailing Cable in Office
Assessment No:
Review Date:
Severity
1-10
Likelihood
1-10
Risk Rate
2
4
8
8
10
80
2
8
16
Measures/Comments
Task within PUWER
Guidelines
No maintenance
No RCD
Used in wet
No PPE
No measures taken
to control risk
Result
A/T
N
N
Key to result T = Trivial Risk A = Adequately Controlled N = Not Adequately Controlled U = Unable to decide (further information required).
NB: THE SEVERITY X LIKELIHOOD RATINGS ARE CALCULATED AFTER TAKING INTO ACCOUNT EXISTING PRECAUTIONS.
NNB: The examples above show that it is quite possible to have a high hazard (circular saw) with a potential for serious injury but the actual risk of injury
itself is low because of the precautions taken. On the other hand it is possible to have a relatively low hazard (trailing cable in office) but the risk of injury
is quite high because no precautions to prevent the tripping hazard have been taken.
10
Appendix 3
HAZARD CHECKLIST
1 Hazards Associated with plant and Equipment (including
Non-Powered Plant and Hand Tools)



Mechanical Hazards
Electrical, Pressure, Stored Energy, Stability, Overloading
Radiation, Noise, Vibration and Thermal Hazards
2 Hazards Associated with Materials and Substances


Fire/Explosion Hazards
Hazardous Substances
3 Hazards Associated with the Workplace
4 Hazards Associated with the Work Environment
5 Hazards Associated with Work Methods
6 Hazards Associated with Work Organisation
7 Other Types of Hazard
11
Appendix 3
Hazards Associated with Plant and Equipment
(including Non-Powered Plant and Hand Tools)
1(a)
Mechanical Hazards
Trapping Hazards

two moving
parts or one
moving part and
a fixed surface

conveyor belt
and drive

vee belt and
pulley
Impact Hazards
Contact Hazards
(includes puncture)
(cutting, friction or
abrasion)

something that
may strike or
stab someone or
can be struck
against

moving vehicle

robot arm


something sharp
or with a rough
surface

blender blade

circular saw
blade
sewing machine

drill

sanding belt

hypodermic
needle

abrasive wheel


hover mower
scissors
pendulum



blade
stapler
crane hook

using hammer
power press

mangle

guillotine

1(b)
drill chuck and
bit

power take off
shaft

pipe threading
machine

abrasive wheel
Ejection Hazards
(e.g. of workpiece or
part of tool)

cartridge tool

thicknessing
machine

using hammer
and chisel

abrasive wheel
Electrical, Pressure, Stored Energy, Stability, Overloading
Electrical Hazards
Pressure Hazards
Electricity:

compressed air


compressed gas
electricity above
240v

electricity (240v)

electricity (110v)


knife, chisel, saw,
etc.


Entanglement
Hazards
(rotating parts)
extra low volt
electricity
Ignition Sources:

static

batteries

steam boiler

vacuum

hydraulic system
Stored Energy
Hazards
Stability Hazards

springs under
tension

inadequate
crane base

springs under
compression

forklift truck on
slope
hoist platform/
lift cage

machine not
bolted down

conveyor tension
weight

mobile scaffold
too high

raised tipper
lorry body

scaffold not tied

counterweight

load carried by
crane

Overload/
Defective Due to
Mechanical Failure

crane overload

chain sling

eye bolt
overload

scaffold overload

hopper overfill
12
Appendix 3
1(c)
Radiation, Noise, Vibration and Thermal Hazards
Noise Hazards
Radiation Hazards
Ionising Radiation:

X Rays

 or  radiation

neutrons
Vibration Hazards

pneumatic drill

pneumatic drill

hot surface

operation of plant

operation of plant

using blow lamp

welding flame/arc

refrigerant

steam
Non-ionising Radiation:

microwave

radio frequency

laser

ultraviolet

infrared
Thermal Hazards
Hazards Associated with Materials and Substances
2 (a)
Combustion Hazards
Fire/Explosion Hazards
Flammable Substances
(including highly and
extremely flammable - see
also explosive below)
Oxidising Substances
Dust Explosion Hazards

timber stack

petrol

organic peroxide

coal dust

coal store

propane gas

potassium
permanganate

wood dust

paper store

methane


nitric acid
aluminium powder
grease



explosive material
flour

magnesium

methanol

fireworks

straw

paraffin

proprietary explosives

plastic foam

acetone

detonators

oxygen enrichment

toluene

some oxidising agents

highly flammable gas

carbon monoxide
13
Appendix 3
2(b)
Hazardous Substances
Corrosive/
Irritating Materials
Dust Explosion
Hazards
Fumes
Vapours

sulphuric acid

asbestos fibres

lead fume


caustic soda

silica dust

rubber fume


man-made
mineral fibre

dust mite faeces

asphalt fumes

pigeon droppings

dust grain dust

wood dust
Mists
Asphyxiants

oil mist

nitrogen

printing ink mist

carbon dioxide

water - legionella

argon
Gases
acetone
1,1,1-trichloroethane

dichloromethane

benzene

isocyanides
Ingestion Hazards

toxic harmful, corrosive
and irritant liquids

poisons, e.g. all harmful
aerosols, polluted
water, contaminated
food and drink

carbon
monoxide

hydrogen
sulphide

carbon
disulphide

sulphur dioxide
Contact Hazards

swarf

rough timber

concrete blocks

molten metal

frozen food
14
Appendix 3
3
Hazards Associated with the Workplace
Access
Work at Heights
Stacking/
Storing Hazards
Obstruction
Work Over/Near
Liquids, Dusts,
Grain, etc.
Trips/Slips:

fragile roof

low headroom

high stacks

grain silo

damaged floors

edge of roof

sharp projections

insecure stacks

tank

trailing cables


inadequate
racking

reservoir

edge of
mezzanine floor
oil spills



sump
work on ladder
stacking at
heights


work over river
erecting scaffold


work near canal
hole in floor


water on floor
debris

wet grass

sloping surface

uneven steps

changes in floor
level
Access:

locked exits

obstructed
egresses

long exit route
4
Hazards Associated with the Work Environment
Light
Temperature
Confined Spaces
Ventilation

glare
Indoor Work:

work in tank

fumes

poor lighting

work in furnace

chimney

odours

stroboscopic effect

cold room

pit

tobacco smoke

arc welding
Outdoor Work:

basement

molten metal

hot weather

unventilated room

cold weather

vessel

wind chill factor

silo

work in rain, snow, etc
15
Appendix 3
5
Hazards Associated with Work Methods
Manual Handling
Repetitive Movements
Posture

lifting

keyboard work

seated work

lowering

using screwdriver

work above head height

carrying

using hammer and chisel

work at floor level

pushing

bricklaying

pulling

production line tasks

hot/cold loads

rough loads

live loads, i.e. person or animal
6
Hazards Associated with Work Organisation
Contractors
Organisation of Work
Work in Public Areas

work above employees

monotonous work

trailing cables

use of harmful substances

stress

traffic/plant movement

contractors’ welding

too much work

obstruction to blind person

process fumes

lack of control of job

obstruction to prams, etc

services e.g. underground
electricity cables

work too demanding

work above public

stored hazardous materials
7
Other Types of Hazard
Attack by Animals
Attack by People
Natural Hazards

bees

criminal attack

lightning

dog

angry customer

flash flood

bull

angry student

fleas

drunken person

snake

drug abuser

mentally ill person
16
Risk Assessments (General) Policy and Guidance
Health & Safety Unit 2012