639-IGC1 Element 5 Risk Assessment-V3

Element 5
Health and Safety Risk

Assessment
CHSS Ltd 2006

wpc/SJ/ae/IGC Element 05 Risk Assessment
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Sales Ref: sc/639/v3
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Contents
Page No
Introduction
Hazard and Risk
The Risk Assessment Process
Carrying out a Risk Assessment

Special Cases for a Risk Assessment
8
17
Young Persons
17
New and Expectant Mothers
19
Disabled Workers
20
References
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Introduction
Risk assessment is an essential part of any health and safety management system,
e.g.:
N
the Planning and Implementation section of the ILO-OSH Guidelines on

Occupational Safety and Health Management Systems (ILO, 2001);
the Planning stage of OHSAS 18001 (BSI, 1999); and
the Planning and Implementing step of HSG 65, the Successful Health and
Safety Management (HSE, 2003).
Figure 1: ILO-OSH Management System

Continual
improvement
Policy
Action for
improvement
Organising
Audit
Evaluation
Planning &
implementation
Continual
improvement
The aim of risk assessment is to identify significant risks and set priorities for
minimising risks, thus preventing accidents, ill-health, etc.
Reductions in work related accidents and ill-health improve morale, reduce the
likelihood of civil and criminal legal actions and prevent economic losses to the
organisation. Other economic benefits may include increased production rates and a
reduction in insurance premiums.
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Hazard and Risk

A hazard is defined as:
something with the potential to cause harm.
Hazards may be categorised as physical (e.g. trailing cables or electricity), chemical
(e.g. cleaning chemicals or fuels), biological (e.g. bacteria or viruses), ergonomic
(e.g. repetitive movements or strenuous activities), or psychological (e.g. work
pressure or hours of working).
A risk is defined as the:
likelihood that harm will occur and the severity of the harm.
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 or personal protective equipment are used as a last resort because these
depend upon people to use them, and use them correctly.
The resultant harm may lead to:
N
near misses;
property damage only;
an accident involving injury;
ill-health; or
death.
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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. In this context adequate means suitably and sufficiently.
The risk assessment and management process involves the:
N
identification of unwanted and uncertain future events;
devising alternative strategies and evaluating their cost / risk; and
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 employees and their health and safety representatives who will be able
to contribute practical knowledge.
Suitable and Sufficient
A risk assessment should fulfil the criteria that it is 'suitable and sufficient'. To
achieve this, the level of detail in the risk assessment should be proportionate to the
level of risk, also it should:
N
ensure that all aspects of work activity are reviewed;
take account of the way the work is organised;
identify the significant hazards and risks;
evaluate the risks;
identify control measures;
enable priorities to be set;
ensure non-routine operations are taken into account;
take account of risks to the public;
ensure staff undertaking the assessment have sufficient knowledge and

experience; and
ensure that the risk assessment is valid for a reasonable time.
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Competence
Risk assessors will need to be competent in the following areas to carry out a
suitable and sufficient risk assessment:
N
experience and training in hazard identification and carrying out risk

assessments;
knowledge of the process or activity;
technical knowledge of the plant or equipment;
good communication and report writing skills;
ability to interpret legislation and guidance; and
possess the right attitude to carry out risk assessment.
Carrying out a Risk Assessment

It is recommended that risk assessment should be viewed as a team effort with the
following (as a minimum):
N
someone with knowledge of risk assessment techniques;
someone with knowledge of the process to be assessed;
the ability to interpret standards;
attention to detail;
good recording and communication techniques; and
someone with managerial influence to authorise and implement change.
There are many variations on the risk assessment process, the following system is
simple, easy to follow, and relevant for most general risk assessments:
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 findings.
5.
Review the assessment and revise it if necessary.
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1.
Look for the Hazards
The first step is to identify hazards from the following:

N
task observation;
accident, ill-health or near miss data;
workplace inspections;
job safety analysis;
legal standards;
guidance (ILO, OSHA, ISO, BSI, HSE, Manufacturers, etc.); and
consultation.
Where possible risk assessment should be task based, however, it may be

necessary to look at specific hazard assessments such as machinery, transport,
electrical, etc., or to divide the work site into geographical areas.
Task Observation
An observation of the task or working environment can allow the assessor (evaluator)
to identify principally physical hazards which are not well controlled, and operator
working practices. The observation criteria can be carried out according to a
checklist to ensure consistency, but the overall identification of hazards for the
assessment should not rely solely on observation. It should include the other
methods described.
Accident and Ill-health Data
Reactive monitoring systems record data from accidents, ill-health absences and
other incidents. The data can be analysed and judgments made about the causes of
such incidents. This information can then be used to identify hazards.
Workplace Inspections
The purpose of a workplace inspection is to identify hazards that are not controlled to
an acceptable standard. Workplace inspections can assist in identifying hazards for
the purposes of risk assessment. However, inspections provide a snap shot in time,
and some hazards may not be present all the time, e.g. chemicals, or they may be
difficult to see, e.g. electrical hazards, asbestos or biological agents.
Job Safety Analysis
Job Safety or Task Analysis is a work-study technique, which carefully observes and
records every detail of a task. The method of working is then evaluated to identify
hazards and develop an ideal safe method of working. Job Safety Analysis is the
basis of task based risk assessments (see Element 6).
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Legal Standards
Legal standards provide information on hazards and controls that should be
considered within general risk assessment, e.g. fire risk assessments.
Other legal standards may have schedules for risk assessment that require a specific
risk assessment methodology, e.g. risk assessments for exposure to hazardous
substances, manual handling operations, noise, vibration, Display Screen Equipment
(DSE). The hazards may be noted in a general task based risk assessment and then
cross referenced, e.g. a manual handling hazard in an office may be identified, and
the action would be to check that a manual handling assessment has been carried
out and is still relevant.
Guidance
General guidance provided by the various sources is a useful source of information
when considering the presence of hazards.
Designers, manufacturers and suppliers also have a duty to provide safety
information on articles and substances being produced for use at work. This
information must identify hazards associated with substances, e.g. material safety
data sheets, product labels, etc.; and hazards associated with equipment, which
have not been controlled at source, e.g. hot surfaces on a machine.
Consultation
Operators of equipment and those that carry out the tasks become experts and will
be able to give valuable detail about what can go wrong, accidents, near misses, etc.
They may also be able to give practical suggestions about control measures. It is
therefore good practice to use the knowledge and experience of managers and
operators when identifying hazards in the workplace.
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:
N
employees, including staff other than operators, e.g. maintenance workers,

cleaners, persons working in close proximity (nearby) or passing through the
work area; and
nonemployees, 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.
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3.
Evaluate the Risks and Decide Whether Existing

Precautions are Adequate or 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:
a.
the adequacy and effectiveness of the existing controls;
b.
an estimation of the risk (likelihood and severity); and
c.
what further action needs to be taken to eliminate or reduce the risk?
a.
Existing Control Measures

Listing the existing control measures is essential in order to produce a
baseline risk assessment, which records all the controls that have been used
and / or recommended, to provide a complete record of risk control. Control
measures will include:
N
workplace precautions
hardware controls at the point of the hazard, e.g. guarding,

segregation, extract hoods;
procedural controls, e.g. job rotation, safe systems of work,
personal protective equipment; and
risk control systems, e.g. information, instruction, training, and

supervision, along with monitoring techniques such as inspections.
It will be important to comment where controls are provided, but are not
adequately used, or are used incorrectly.
b.
Risk Estimation
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. Qualitative risk assessments can also include an element of
relative risk ranking to make them semi-quantitative. Semi quantitative or
quantitative risk assessments 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.
The following is a simple method for estimating relative risk:
The severity of harm
3.
Major death or major injury or illness causing long-term disability;
2.
Serious
injuries or illness causing short-term disability; and
1.
Slight
all other injuries or illness.
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The likelihood of harm

3.
High
where it is certain or near certain that harm will occur;
2.
Medium
where harm will often occur; and
1.
Low
where harm will seldom occur.
The 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.
Likelihood of harm
Severity of harm
Slight (1)
Serious (2)
Major (3)
Low (1)
Medium
(2)
High (3)
Table 1: Simple Risk Ranking Matrix

These numbers provide an indication of the risk and therefore the priority.
Simple 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.
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
Low risk but reasonable actions should still be taken to try to further
reduce these risks, if possible
Table 2: Simple Risk Ranking Conclusions

Some organisations use more complex techniques involving a number of factors, e.g.
the number of people exposed to a hazard, the number of occurrences of the hazard,
the operation, or of any incidents may be factored in to determine the likelihood of
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risk. A larger matrix may be used, e.g. a 5 x 5 risk ranking scale. It is also possible
to weight the scale to emphasise a worst-case scenario, e.g.:
10.
death;
6.
major injury or illness causing long-term disability;
5.
injuries or illness causing short-term disability;
3.
all other injuries or illness; and
2.
first-aid given, person returns to work.
Acceptable
The risk assessment should control the risks to an acceptable level.
c.
Acceptable risk is where the risk of harm is insignificant without any

workplace controls, or is reduced as much as is reasonably practicable
following the introduction of control measures. In the second case monitoring
will be required to ensure that the control measures are maintained.
Acceptable risks are often the minimum specified in law.
Further Control Measures
At this stage a judgement has to be made about whether the existing control
measures are adequate and effective to minimise the level of risk, or whether
additional measures are required. In order to aid judgement of acceptable
risk consideration should be given to the following:
1.
Hierarchy of control.
2.
Guidance.
3.
Minimum legal standards.
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1.
Hierarchy of Control
The term hierarchy of controls is a preferred series of measures to control risks. The
measures should be considered in the flowing order of priority (ERIC Prevents
Death):
Safe Place
Eliminate the hazard, e.g. using water instead of

solvent based paints.
Reduce the risk, e.g. using 110V electrical equipment
instead of 240V.
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.

Safe Person
Discipline, e.g. obtain compliance with rules and

following procedure.
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 (see Element 6).
2.
Guidance
Guidance illustrates good practice and outlines the hazards, situations where risk is
increased, and precautions that will control the risk.
3.
Minimum Legal Standards
Health and safety legislation provides minimum legal standards, which should be
achieved, e.g.:
N
guarding of machinery hazards;
pedestrian and vehicle traffic management;
limits for exposure to noise and vibration;
limits for exposure to airborne chemicals and substances; and
limits for exposure to ionising radiations.
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Residual Risk
Once further measures have been decided the level of residual risk, i.e. remaining
risk, should be considered. The aim is to minimise residual risk to acceptable levels.
Prioritisation Based on Risk
The introduction of control measures will be decided according to the level of risk
assessed. High risk equals high priority action; low risk equals low priority action.
Where risk is high, immediate action will be necessary, which may include short-term
actions, e.g. the use of personal protective equipment, until long-term solutions are
sought and implemented. If the risk is low, long-term action may be acceptable. In
reality, both high and low priority actions may be introduced simultaneously.
High priority risks may require the allocation of more resources to control the risk.
4.
Record the Findings
Employers should record the significant findings of the risk assessment, including:
N
significant hazards;
people affected;
adequacy of existing controls;
the extent of the risk;
further actions required; and
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.
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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:
N
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; or
a specific period of time has elapsed, thus indicating the need for a periodic
review.
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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:
N
lack of knowledge, experience and / or training;
a young persons body has not fully developed; and
a young person may be more likely to:
take risks;
respond to peer group pressure; and
be over enthusiastic (excited).
Risks
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:
N
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; and
risks from particular:
agents, e.g. carcinogens;

processes, e.g. explosives manufacture; and
dangerous work, e.g. involving fierce animals.
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.
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Young people should not be employed to do work which:

N
is beyond their physical or psychological capacity;
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;
exposes them to radiation;
involves a risk of accidents which they are unlikely to recognise because of,
e.g. their lack of experience or training; and
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:
N
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; and
restricting the hours worked.
Other factors that should be considered when employing young persons would
include:
N
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;
and
insurance requirements.
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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 are at risk for the following reasons:
N
the unborn child or the nursing child may be affected by physical, chemical,
and biological hazards; and
the mother may be more affected by physical, chemical, biological and

workplace hazards due to changes in the body.
Potential health and safety risks include:

N
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, personal protective equipment,
manual handling, radiation (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, such as hepatitis and rubella.
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:
N
morning sickness and headaches; N
backache;
frequent visits to toilet;
varicose veins;
balance; and
haemorrhoids;
comfort.
tiredness;
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increasing size;
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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:
N
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; and
ergonomic hazards, e.g. reach distances.
Disabled workers should be consulted when making decisions about how to reduce
the risks and competent advice must be sought wherever necessary.
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References
ILO
2001
ILO-OSH: Guidelines on Occupational Safety

and Health Management Systems.
BSI
1999
OHSAS 18000: Occupational Health and Safety

Assessment Series.
BSI
1999

Management Systems Specification.
BSI
2002

Management Systems Guidelines for the
Implementation of OHSAS 18001.
HSE
2003
HSG 65: Successful Health and Safety

Management.
HSE
1994
INDG 163: Five Steps to Risk Assessment.
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Notes
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639-IGC1 Element 5 Risk Assessment-V3

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639-IGC1 Element 5 Risk Assessment-V3

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Element 5

Health and Safety Risk

CHSS Ltd 2006

CHSS Ltd 2006

Hazard and Risk

The Risk Assessment Process

Carrying out a Risk Assessment

New and Expectant Mothers

CHSS Ltd 2006

CHSS Ltd 2006

the Planning and Implementation section of the ILO-OSH Guidelines on

the Planning stage of OHSAS 18001 (BSI, 1999); and

Figure 1: ILO-OSH Management System

CHSS Ltd 2006

Hazard and Risk

property damage only;

an accident involving injury;

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The Risk Assessment

identification of unwanted and uncertain future events;

devising alternative strategies and evaluating their cost / risk; and

taking action according to the organisations decision framework.

ensure that all aspects of work activity are reviewed;

take account of the way the work is organised;

identify the significant hazards and risks;

evaluate the risks;

identify control measures;

enable priorities to be set;

ensure non-routine operations are taken into account;

take account of risks to the public;

ensure staff undertaking the assessment have sufficient knowledge and

ensure that the risk assessment is valid for a reasonable time.

CHSS Ltd 2006

experience and training in hazard identification and carrying out risk

knowledge of the process or activity;

technical knowledge of the plant or equipment;

good communication and report writing skills;

ability to interpret legislation and guidance; and

possess the right attitude to carry out risk assessment.

Carrying out a Risk Assessment

someone with knowledge of risk assessment techniques;

someone with knowledge of the process to be assessed;

the ability to interpret standards;

good recording and communication techniques; and

someone with managerial influence to authorise and implement change.

Look for the hazards.

Decide who might be harmed and how.

Record the findings.

Review the assessment and revise it if necessary.

CHSS Ltd 2006

Look for the Hazards

The first step is to identify hazards from the following:

accident, ill-health or near miss data;

job safety analysis;

guidance (ILO, OSHA, ISO, BSI, HSE, Manufacturers, etc.); and

Where possible risk assessment should be task based, however, it may be

CHSS Ltd 2006

Decide Who Might be Harmed and How

employees, including staff other than operators, e.g. maintenance workers,

nonemployees, such as agency workers, contractors, visitors and members

CHSS Ltd 2006

Evaluate the Risks and Decide Whether Existing

the adequacy and effectiveness of the existing controls;

an estimation of the risk (likelihood and severity); and