Reference no.

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INITIAL RISK ASSESSMENT AND OCCUPATIONAL HEALTH AND SAFETY

CONSIDERATIONS FOR 4TH YEAR AND POST - GRADUATE PROJECTS

Introduction

Risk assessment and management is an integral part of the professional brief. The risk management system
envisaged differs from an employer/employee relationship in that students are both under training and on the verge
of graduation and employment. As they could well be made responsible for activities that include HSE
responsibility, emphasis has been placed on understanding and the application of principles rather than simply
following rules in the development of the risk assessment. As an example, in the use of machines, a task could be
to develop standard operating procedures rather than to simply apply existing safe operating procedures.

In the context of the University it is considered important that students carry out their projects in a safe manner to
ensure their own safety as well as the safety of others who may be exposed to their activities. In view hereof it is
essential that a risk assessment be conducted to identify whether there are any hazards/ risks associated with projects
and that may have the potential to cause harm as well as to identify mitigation measures that will minimize the
probability of harm, damage, trauma and loss. For this purpose this risk assessment form has been developed to
ensure that a formal process exists for obtaining project approvals/authorizations as well as for conducting a risk
assessment with the ultimate objective being to ensure that the potential for incurring harm, damage, trauma and loss
whilst a project is underway is minimized to the greatest extent reasonably possible.

The risk assessment must be completed by all 4th Year and Post Graduate Students submitting applications for
projects and the necessary Supervisory authorizations and acknowledgement signatures must be obtained before
permission is granted to continue with projects in terms of the agreed plan. As risk assessment is a living reality,
the assumptions made in completing the form need to be continuously reassessed.

Modus Operandi Regarding Risk Assessments and Approvals

i). This form must accompany all project applications and the necessary authorizations must be obtained and
assessments conducted prior to the project proceeding.
ii). It is the responsibility of the student to ensure that the risk assessment has been conducted to the satisfaction of
the supervisor, that the mitigation measures identified during the risk assessment are implemented to the satisfaction
of the supervisor and that the actions undertaken follow the agreed plan..
iii). Risk assessments and authorizations apply to any of the following scenarios:
a) A project is intended to be implemented on Wits premises in any faculty (In which case the risk assessment
methodology described later in this document, and the implementation of the appropriate mitigation
measures, will be applicable).
b) A project is intended to be implemented on another organizations premises (other than Wits) within South
Africa and where this organization is deemed to be a competent centre (In which case the risk assessment
methodology to be used will be in accordance with that competent centres policies, procedures and
safety management systems).
c) A project is intended to be implemented on another organizations premises in South Africa and where this
organization is not considered to be a competent centre (In which case the risk assessment methodology
prescribed by Wits will be the minimum risk assessment standard to be considered.)
d) A project is intended to be implemented in another country within an entity where a credible risk
assessment methodology is applied and in which case the risk assessment methodology to be used will be
in accordance with that international entitys policies, procedures and safety management systems
e) A project is intended to be implemented in another country (possibly in a rural setting) where no credible
risk assessment methodology exists (In which case the risk assessment methodology prescribed by Wits
will be the minimum risk assessment standard).
iv). If the circumstances and/or scope of the project changes in any manner after such project has been approved and
commenced then approval for such change needs to be obtained and a further risk assessment should be conducted
which will take into consideration the intended changes to the original project scope.

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RISK INFORMATION FOR RESEARCH PROJECTS

1. RESEARCH DETAILS
Full Name: Student number:
University/ Faculty/School/Department:
Research Group & Supervisor:
Supervisor contact details
Date: Signature:
2. TITLE AND BRIEF DESCRIPTION OF PROJECT WORK
Title:
Brief description:

3) Does the project not involve laboratory work eg computer modeling) Yes/ No

For risk assessment see attached

4. A. RISKS (Personal)
PERSONAL HEALTH RISKS: Are you aware of any personal health concerns that may affect your
ability to perform the tasks required e.g. blood pressure problems, sight, hearing, feel, smell, taste, physical
challenge, chronic illness (i.e. Asthma, Epilepsy, Allergies) - A doctors certificate will be required

4. B. RISKS OTHER (Location/ process/Other)

Location: eg burns, electrical shock, molten metal, heat exhaustions, moving machine parts, moving machines.
overhead cranes
Process: carcinogens, inhalation, spills, fire, explosion, power failure effects, gas leak, water leak. water failure,
chemical spill, dust leak., fume leak etc
Attach the risk assessment sheet indicating that the risk assessment was conducted, anailyed and mitigation

5. LOCATION OF WORK (if working in more than 1 lab list all labs here in column format)
School/Organisation and location:
Building:
Lab(s) number:
Lab(s) name:
Floor / building:
Lab manager:
Floor OH&S Representative contacted:

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6. SPECIFIC TRAINING REQUIREMENTS

Please give details of what is required, how this will be provided, what training is required and who is responsible
for the training (Please supply supporting documentation demonstrating that training was received, when, by
whom).
i.
ii.
iii.
iv.
7. SOURCES OF INFORMATION USED FOR THIS ASSESSMENT (MSDS (list), web sites (list),
postgraduates input, safety lectures, supervisor, other
i.
ii.
iii.
iv.
8. WASTE DISPOSAL ARRANGEMENTS
For chemical/hazardous waste, types & quantities of waste products, waste samples, broken glass, bugs.
Please use the labels provided. Note locations of waste collection. Frequency and location of waste collected?

9. MONITORING/SURVEILLANCE MEASURES
(a) Environmental monitoring procedures in place to detect contamination of workers / workplace /
environment / water effluents / gas, etc and the frequency with which they will be carried out. (Please give outline
details and supporting documentation if necessary.)

(b) Will health surveillance be required? e. g. heat exhaustion, noise, lighting, ventilation, vibration, etc.
If yes please give details of what is required and how will be implemented. Please supply supporting
documentation if required.

10. RISKS AND EMERGENCY ASPECTS TO BE CONSIDERED

(a) What are the major risks? What could go wrong? Please specify for each centre and laboratory used.
Location: eg burns, electrical shock, molten metal, heat exhaustions, moving machine parts, moving machines.
overhead cranes
Process: carcinogens, inhalation, spills, fire, explosion, power failure effects, gas leak, water leak. water failure,
chemical spill, dust leak., fume leak etc

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Please specify as per above for each laboratory:
b) Fire-fighting equipment (inside and outside
laboratory)
Specify aspects such as: location and operating procedure
- water; foam; carbon dioxide; powder; fire blanket; sand,
d) Emergency shower determine location, access and
whether it is working
f) Gas detection system in lab
Identify and list (Location of gas cut off/isolation valves,
etc.)
h) Transport to and from project site (Is the
transportation safe, are vehicles roadworthy, licensed and
are drivers qualified, etc.)
j). Other significant aspects (Please stipulate any other
relevant and significant issues not covered above in the
space provided alongside)
10a) PROJECT PROPOSAL APPROVALS (NB - For projects taking place on Wits University premises)
a). 4TH YEAR /PG / Post Doctoral Project Proposal
approved by (Provide name of responsible person for the
premises on which the research project will be
conducted):
b). Authority to conduct the research on these premises
to be signed by above-named person:
c) Supervisor: (Must sign)
The Supervisor has checked that the project will take
place in an entity/organization that has a credible risk
management system and is satisfied with the quality of
the risk assessment that was conducted
Student# Month Year
c) First Aid Provisions
Indicate whether first aid boxes are available, where
they are, that the boxes are compete, and the name(s)
of First Aider(s) and contact details
e) Electrical Switchboard - determine location,
access and relevant trip switches
g) Emergency evacuation routes & assembly areas
Have you identified the emergency signals, the route
from lab/s and the location of the assembly area?
i) Material Safety Data sheets
Are MSDS Sheets available (if applicable) and are
you aware of the relevant dangers and responses and
able to apply the latter? (Circle applicable response)
MSDS available Yes/No
Aware of dangers and responses Yes/No
a). Name:
b). Signature:
d) Co-supervisor
The Co-Supervisor has checked that the
project will take place in an entity/organization
that has a credible risk management system
and is satisfied with the quality of the risk
assessment that was conducted
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Signature:_____________________________ Signature:_____________________________
Print Name:___________________________ Print Name:___________________________
Title:_________________________________ Title:_________________________________
Date:_________________________________ Date:_________________________________
e). Is this project being referred to the relevant HSE Committee for their attention and input? (for
projects involving risks rated above low)
Yes:________ No:_________
f) HSE Committee (only for all above low risk projects g) HSE Representative/Officer (Must sign for
unless there are other queries as listed.) all projects)

Signature:_____________________________ Signature:_____________________________
Print Name:___________________________ Print Name:___________________________
Title:_________________________________ Title:_________________________________

Date:_________________________________ Date:_________________________________

Student declaration:

I,............ID .., am aware of

the potential hazards and risks posed by my research project as described. I have completed the personal and
research location forms together with assessing the site and project relevant formal risk assessment and
mitigation matrix. This demonstrates my understanding of the Risks and Occupational Health and Safety
aspects of the research project, laboratory and School. In applying for approval of the research project, I
undertake to follow the approved plan and undertake to work in a safe manner. I understand that safety is my
concern and responsibility as well as the Schools. I will take the necessary precautions to prevent incidents or
accidents. I am aware that disciplinary action may be taken against me in the event that I do not comply with
the occupational health and safety requirements of the School or any area where I undertake my research work.
I also acknowledge that if this plan or circumstances changes either before or during implementation of this
project that I will ensure that a further risk assessment is conducted, that the necessary authorizations are
obtained and that the risk mitigation measures are implemented accordingly.

Student Signature: .. Date: ..

This serves to verify that training and other risk mitigation measures have been satisfactorily implemented.

Supervisors Signature: Date: ..

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10b) PROJECT PROPOSAL APPROVALS (NB - For Projects conducted at HSE competent Centres
which are other than on Wits University Premises and / or in other Countries)
a). Research centre/location: a). Location:

b). Project Proposal approved by (Provide name of b). Name:

responsible person for the premises on which the
research project will be conducted):
c). Authority to conduct the research on these c). Signature:
premises to be signed by above-named person:
d). Is the centre / entity where project takes place Yes No (Please circle applicable response)
regarded as a competent centre where a credible
safety management system and risk assessment
methodology is applied? If NO, please provide details
alongside and complete form 10c:
e) Supervisor: (Must sign) f) Co-Supervisor (Must sign)
g). The Supervisor has checked that the project will The Co-Supervisor has checked that the project
take place in an entity/organization that has a will take place in an entity/organization that has a
credible risk management system and is satisfied with credible risk management system and is satisfied
the quality of the risk assessment that was conducted with the quality of the risk assessment that was
conducted

Signature:_____________________________ Signature:_____________________________

Print Name:___________________________ Print Name:___________________________

Title:_________________________________ Title:_________________________________

Date:_________________________________ Date:_________________________________

f). Is this project being referred to the relevant HSE Committee for their attention and input?

Yes:________ No:_________
h) Chairman of HSECommittee (only for all above i) Responsible HSE Officer for Work Centre
low risk projects if no other queries as listed).

Signature:_____________________________ Organisation:_________________________

Print Name:___________________________ Signature:_____________________________

Title:_________________________________ Print Name:___________________________

Date:_________________________________ Title:_________________________________

Date:_________________________________

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Student declaration:

I,............ID .., am aware of

the potential hazards and risks posed by my research project as described. I have completed the personal and
research location forms together with assessing the site and project relevant formal risk assessment and
mitigation matrix. This demonstrates my understanding of the Risks and Occupational Health and Safety
aspects of the research project, laboratory and School. In applying for approval of the research project, I
undertake to follow the approved plan and undertake to work in a safe manner. I understand that safety is my
concern and responsibility as well as the Schools. I will take the necessary precautions to prevent incidents or
accidents. I am aware that disciplinary action may be taken against me in the event that I do not comply with
the occupational health and safety requirements of the School or any area where I undertake my research work.
I also acknowledge that if this plan or circumstances changes either before or during implementation of this
project that I will ensure that a further risk assessment is conducted, that the necessary authorizations are
obtained and that the risk mitigation measures are implemented accordingly.

Student Signature: .. Date: ..

This serves to verify that training and other risk mitigation measures have been satisfactorily implemented.

Supervisors Signature: Date: ..

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10c) PROJECT PROPOSAL APPROVALS (NB - For Projects conducted at HSE non- competent Centres
which are other than on Wits University Premises and / or in other Countries)
a). Research centre/location: a). Location:

b). Project Proposal approved by (Provide name of b). Name:

responsible person for the premises on which the
research project will be conducted):
c). Authority to conduct the research on these c). Signature:
premises to be signed by above-named person:
d). Why is the centre / entity where project takes Why is the centre non- competent and, if so, why
place regarded as a non-competent centre where a has this centre been selected?
credible safety management system and risk
assessment methodology is not applied?
e) Supervisor: (Must sign) f) Co-Supervisor (Must sign)
g). The Supervisor has checked that the project will The Co-Supervisor has checked that the project
take place in an environment where a risk assessment will take place in an environment where a risk
has been undertaken and, where, after mitigating assessment has been undertaken and, where, after
interventions, the project can be undertaken safely. mitigating interventions, the project can be
undertaken safely.
ure:_____________________________
Signature:_____________________________
Print Name:___________________________
Print Name:___________________________
Title:_________________________________
Title:_________________________________
Date:_________________________________
Date:_________________________________

f). This project must be referred to the relevant HSE Committee for their attention and input.

h) Chairman of HSE Committee Comment by chairman of HSE Committee

Signature:_____________________________

Print Name:___________________________

Title:_________________________________

Date:_________________________________

Student declaration:

I,............ID .., am aware of

the potential hazards and risks posed by my research project as described. I have completed the personal and
research location forms together with assessing the site and project relevant formal risk assessment and

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mitigation matrix. This demonstrates my understanding of the Risks and Occupational Health and Safety
aspects of the research project, laboratory and School. In applying for approval of the research project, I
undertake to follow the approved plan and undertake to work in a safe manner. I understand that safety is my
concern and responsibility as well as the Schools. I will take the necessary precautions to prevent incidents or
accidents. I am aware that disciplinary action may be taken against me in the event that I do not comply with
the occupational health and safety requirements of the School or any area where I undertake my research work.
I also acknowledge that if this plan or circumstances changes either before or during implementation of this
project that I will ensure that a further risk assessment is conducted, that the necessary authorizations are
obtained and that the risk mitigation measures are implemented accordingly.

Student Signature: .. Date: ..

This serves to verify that training and other risk mitigation measures have been satisfactorily implemented.

Supervisors Signature: Date: ..

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PROJECT RISK ASSESSMENT To be used in Conjunction with Score Tables below

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Risk assessment method:

1. Identify the hazards and probabilities (attached form). (These may change with changed locations.)
2. Decide who/what might be harmed and how
3. Evaluate the risk and decide on precautions (risk ranking = probability score x impact score). Each
hazard should be assessed independently.
4. Record your findings
5. Review the assessment
6. Evaluate the effectiveness of eliminating, reducing or mitigating extreme, high and medium
scoring risks (by treating to avoid or reduce likelihood or impact)(Note: Avoidance implies
doing something else or passing the risk on, for instance, to insurance.)
7. Update as necessary and apply plans

Impact Score
Score Safety 1
1 Very minor injury
(first aid only)
2 Minor injury (medical
treatment)
3 Minor disabling
injury (3-14 days off
work)
4 Major disabling injury
(more than 14 days
off work)
5 Fatalities
Health 2
Temporary impairment
Permanent mild impairment (e.g
mild hearing loss)
Permanent moderate impairment
(e.g. moderate hearing loss or
breathlessness)
Permanent severe impairment
(Severe terminal illness with death
in 12 to 24 months)
Acute terminal illness
Environment 3
Minor (0-5 years with local impact)
Moderate (5-15 years, impact to site
and surroundings)
Significant (long term impact to
cease after operational life of
activity), regional impact)
Substantial (permanent impact,
national scale)
Catastrophic (impact has
international repercussions,
permanent and direct impact on
health)

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Probability Score
Score Description Envisaged probability of one-off event
1 Improbable 1 in 1000
2 Unlikely 1 in 100
3 Possible 1 in 10
4 Likely More likely than not
5 Probable Almost certain

Risk Matrix Table (Risk Ranking for individual risks)

Impact
Probability Insignificant (1) Minor (2) Moderate (3) Major (4) Extreme (5)
Improbable (1) Low (1) Low (2) Low (3) Low (4) Low (5)
Unlikely (2) Low (2) Low (4) Low (6) Medium (8) Medium (10)
Possible (3) Low (3) Low (4) Medium (9) Medium (12) Medium (15)
Likely (4) Low (4) Medium (8) Medium (12) High (16) High (20)
Probable (5) Low (5) Medium (10) Medium (15) High (20) Extreme (25)

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D) Hazard Score Table and probability(separate entries for an event that affects more than one of health, safety and the environment) Page __of__

Assessment Before Assessment after

Controls
What is What are the controls
Hazard What is the
Controls envisaged What is the
the cause consequences Monitoring

(1
Identification of the impact of the impact of the
hazard on the hazard on the Mechanisms
hazard
following following
items items
A hazard is anything Event or Immediate Preventative Reactive Controls How we know if we

PROBABILITY (4)

PROBABILITY(4)
that is likely to lead to situation physical or are succeeding?

RISK RANKING
Controls (Impact)

ISK RANKING
an event which has an leading practical event as Include comments

(1 or 2,or 3) x4
(Liklihood) Controls taken to

Environment 3

Environment 3
adverse effect on your directly to a result of the on effectiveness.

or 2,or 3) x4
Controls taken to reduce the immediate

Health 2
objective the hazard hazard eliminate hazards or impact of the hazard

Health 2
Safety 1

Safety 1
reduce the likelihood occurring
of the hazard
occurring

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