On completion of this element, readers should be able to demonstrate understanding of the content through the application of knowledge to familiar and unfamiliar situations. In particular they should be able to:
5.1 Explain the aims and objectives of risk assessment
5.2 Identify hazards by means of workplace inspection and analysis of tasks
5.3 Explain the principles and practice of risk assessment.
5.1 Aims and objectives
Definitions of Hazard and Risk
Risk assessment is one of the main methods by which pro-active safety management can be carried out. lt is also a statutory requirement under a considerable number of new U.K. Regulations.
The principal requirements are to:
- Identify hazards i.e. anything, which has the inherent ability to cause harm
A hazard can be animal, vegetable, mineral or abstract! lt is quantifiable from extr mely hazardous to slightly hazardous |
- Assess the risks associated with each hazard
Risk is the possibility of exposure to a hazard. It is often measured as:Degree of Hazard x Probability of Exposure |
Objective of risk assessment
The objective of carrying out risk assessments is to reduce, so far as is reasonably practicable, the significant risks associated with hazards in work tasks and work places to tolerable levels in terms of the potential human suffering, legal requirements and economic effects on the organisation.
The distinction between different types of risks can be broadly identified as being in four main categories:
- Immediate physical injury (acute) Examples are:
- Long -term physical injury (chronic) Examples are:
- Immediate health problems (acute) Examples are:
Overcome by fumes (ammonia), poisoned (cyanide)
- Long-term health problems (chronic) Examples are:
Broken bones (falls), crushing (caught in machine) head injury (falling objects), burst ear drum(extremely loud noise), loss of sight (welder's flash), burns (fire or hot surfaces)
Back strain (manual handling), joint or muscular problems (body movement), arthritic conditions(dampness), white finger (vibration)
Asbestosis (asbestos dust), cancer (working with carcinogens), stress (working above capacity or capability)
Remember that the people at risk can be employees (both as a direct result of their work or as a result of the work of others), contractors, visitors, local environs, or carriers, purchasers or users of products or services.
Common Definitions:
| Accident | means | An unplanned event in a series of planned events |
| Hazard | means | Something with the inherent ability to cause harm |
| Risk | means | The possibility of exposure to a hazard Often measured as: Degree of hazard x Probability of exposure |
| Danger | exists | Where there is a distinct possibility of an interchange of energy above tolerable levels |
| Significant risk | means | A risk that has been clearly increased as a result of a work activity |
| Statutory risk | means | Risks which have the ability to impinge upon the wellbeing of people (Controlled by legislation) |
| Emergency planning | means | Pro-active planning to deal immediately with a situation which has the ability to threaten the wellbeing of people or the corporate body |
| Contingency planning | means | Pro-active planning to deal with the effects of a disaster that could, without planning, affect the ability of the organization to continue trading |
| Slow injury | means | An injury or health problem which develops over a period of time cumulatively |
| Casual event | means | An event which in itself is not necessarily dangerous but when present along with other causal events could lead to an accident of any magnitude from a near miss to a catastrophe |
| Near miss | means | Near miss means An incident that could have resulted in serious injury. For example a brick falling from a height but not hitting anyone |
5.2 Identifying hazards
The competent person
The perceived level of danger is very important in making a risk assessment, therefore it is important that the person(s) carrying out such assessments have the knowledge and experience necessary to understand not only the physical aspects but also the behavioral aspects that could lead to an accident. They must also appreciate the worst and/or likely consequences of such an event.
The person(s) carrying out an assessment should be considered by the employer/organisation to be competent before being commissioned to carry out the task, i.e. competent in that they have the ability that ensures their perceived level of danger is at, or is very close to, the actual danger level.
If necessary persons charged with carrying out assessments should be given adequate information, instruction and training to be deemed competent to carry out risk assessments.
Competent person(s) Should have the academic qualifications and experience necessary to allow them to: firstly, know what to look for, secondly recognise it when they see it and assess its importance with regards to the degree of risk associated with the location and/or activity |
Categories of accidents are incidents that can cause:
- Immediate injuries such as broken bones, loss of a limb etc.
- Cumulative or slow injuries such as back problems or eye-strain etc.
- Immediate (acute) health problems such as inhaling a poisonous gas or severe burns
- Cumulative (slow) health problems such as asbestosis or hearing loss
- Psychological problems (can be inherent or cumulative) such as fear of heights or stress
lt is important in identifying the level of risk that information is obtained from a number of sources such as Approved Codes of Practice and Guidance Notes etc.
5.3 . Principles and practice of risk assessment
In order to carry out a risk assessment it is important to identify the persons at risk other than merely employees e.g. operatives, maintenance or cleaning personnel etc., members of the public, contractors or persons with special needs.
The objective of risk assessment is to proactively identify risks in terms of human suffering and take preventive and/or precautionary measures to eliminate, reduce or control the possibility of harm to individuals.
Risk assessments can also protect the organisation (employer) from harm in terms of lost production, reputation, industrial and public relations and possible prosecutions or claims for damages etc.
Types of assessment
There are two ways of carrying out risk assessments:
- Qualitative type assessment
- A geographical area of work e.g. an office or warehouse, etc
- A generic group of workers e.g. scaffolders,fork lift truck drivers, etc
- A generic type of work e.g. welding, manual handling, etc.,
- The specific needs of individual workers or individuals.
- Quantitative risk assessment
This type of assessment that is based subjectively on general information, experience and intuition is much simpler to make and is adequate for the vast majority of work situations. lt is also legally acceptable. Where there are similarities in activities, a generic risk assessment would be acceptable.
Qualitative Risk Assessments can be based upon:
In low risk environments and tasks it may be sufficient to categorise risks as High, Medium or Low.
This type of assessment will only be required where there are risks of a high unacceptable nature such as those that could lead to immediate serious consequences, or risks that are cumulative (long term) in nature.
The following method can be used to conduct a quantitative risk assessment:
In deciding whether the risks associated with the hazards are being adequately controlled or whether more could be done, two factors must be taken into account in carrying out a quantitative assessment. These are the severity rating of the hazard and the probability of exposure to the
hazard. These can be produced in a risk-ranking chart.
Severity rating of hazard Value
| Catastrophic | 5 |
| Serious | 4 |
| Fairly serious | 3 |
| Marginal | 2 |
| Negligible | 1 |
Probability rating of exposure to hazard
| Imminent | 5 |
| Probable | 4 |
| Reasonably probable | 3 |
| Remote | 2 |
| Extremely remote | 1 |
Risk analysis chart
Severity rating |
1 |
2 |
3 |
4 |
5 |
2 |
4 |
6 |
8 |
10 |
|
3 |
6 |
9 |
12 |
15 |
|
4 |
8 |
12 |
16 |
20 |
|
5 |
10 |
15 |
20 |
25 |
|
Probability rating |
|||||
In using a risk analysis chart the assessors should determine a rating on the basis of the existing precautions in place. Note that personal protective equipment should only be used as a last resort.
The Risk Value would equal Severity x Probability. Where a Risk Value of 25 would be critical and demand immediate action and a value of 1 would require no action. Assessors then require making a
judgment as to what numerical value of risk would require further attention.
As an example, perhaps a risk ranking of 8 or more would be acceptable providing all reasonably practicable precautions are in place or are being recommended and implemented.
JOB SAFETY ANALYSIS
Job safety analysis (JSA) is an accident prevention technique that is similar to work-study and can be used as a basis for carrying out a risk assessment. lt involves a chronological breakdown of an activity to determine if there are ways in which the potential for an accident can be reduced.
The method is to:
Select - the work to be studied
Record - how the work is done
Evaluate - all the various consequences
Develop - the best method of doing the job Install - the method as developed
Maintain - the methodology
Monitor -the effectiveness of the method
HSE GUIDANCE
The Health and Safety Executive free leaflet '5 Steps to Risk Assessment' describes the process as containing five distinct steps. These are:
Step 1 Look for the hazards
In carrying out the assessment it is important to look at what could reasonably be expected to cause harm. Ignore the trivia and concentrate on significant hazards that could cause serious harm to one or more people. Speak to the people carrying out the work activity under review; they may identify hazards not patently obvious to you. Manufacturer's manuals, data-sheets, accident and health records can also help spot hazards and put risks into perspective.
Step 2 Decide who may be harmed
As well as operatives there are other people who can be adversely affected such as cleaners, visitors, contractors, maintenance personnel etc. Include members of the public or other people who share the workplace with your organisation.
Identify the hazards associated with the task and decide whether the existing precautions are adequate or whether more could and should be done.
Sources of potential harm can be associated with the working environment in which the work will be carried out or associated with the work activity. These sources could arise from:
- Unsafe conditions of buildings or site conditions, overcrowding, working at heights or in confined spaces
- Unsafe utility such as electricity, gas, pneumatics, hydraulics, water, lighting
- Hazardous chemical or biological agents
- The unsafe work of other persons
- Unsafe plant, machinery or tools
- Internal transport
- Human frailties such as incompetence, negligence, tiredness, forgetfulness, stress, special needs
- Lack of training
- Poor ergonomics
- Unsafe systems of work
- Fire and/or explosion
- Violence and/or working alone
Step 4 Record the findings
If an organisation has less than five employees they do not need to record the findings, however where they have five or more employees the significant findings of assessments must be recorded. This means writing down the most significant hazards and recording your conclusions. For example dust from the•grinding wheels is removed by an adequate well-maintained LEV system.
There is no need to show how the assessment was completed provided you can demonstrate a proper check was carried out, identifying who could be affected and that you have dealt with all of the significant hazards taking account of the numbers of people who could be involved.
Assessments need to be suitable and sufficient, not perfect.
The written assessments must be made known to, and be available for perusal by all personnel involved and must also be available for inspection by the HSE or other enforcement bodies.
Step 5 Reviewing assessments
Assessments must be reviewed where there are changes that may affect the validity of the assessment. For example:
- Changes in premises or layout
- New or updated types of machinery
- New or different substances or processes
- Changes in skills of operatives, or shift patterns
Do not amend assessments for every trivial change
The idea is to keep the system of risk assessments as simple as possible but not too simple.
The methodology used to carry out a risk assessment must be 'Suitable and Sufficient' taking into account the degree of danger involved in the activity being assessed. Assessments need to be suitable and sufficient, not perfect.
Special consideration is required for work conducted by:
- Children (Under 16 years of age) or young persons {16 to 18 years of age)
- Expectant or nursing mothers
- Lone, casual or contracted workers
- Impaired or disabled persons
Sources of reference
The Management of Health and Safety at Work (ACOP) (L21) HSE Books
Young Persons at Work (HSG165) HSE Books
Relevant statutory provisions
The Management of Health and Safety at Work Regulations 1999
Typical examination questions based on Element 1.5
| 1 | Outline the factors that should be considered in carrying out a risk assessment as required by the Management of Health and Safety at Work Regulations 1999. |
(8) | |
| 2 | (a) | Identify the key stages of a workplace risk assessment. | (5) |
| (b) | Outline THREE circumstances that might require a risk assessment to be reviewed | (3) | |
| 3 | (a) | In relation to risk assessments as required by the Management of Health and Safety at Work Regulations 1999, explain the meaning of the term 'suitable and sufficient' | (2) |
| (b) | Outline the changes in circumstances that may require a risk assessment to be reviewed. | (6) | |
| 4 | (a) | Explain using an example, the meaning of the term 'risk'. | (2) |
| (b) | Outline the factors that should be considered when selecting individuals to assist in carrying out risk assessments in a workplace. | (6) |