NGC1 Element 5 Risk Assessment

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:

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)

• Long -term physical injury (chronic) Examples are:

Back strain (manual handling), joint or muscular problems (body movement), arthritic conditions(dampness), white finger (vibration)

• Immediate health problems (acute) Examples are:

  Overcome by fumes (ammonia), poisoned (cyanide)

• Long-term health problems (chronic) Examples are:

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:

1. Qualitative type 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:

• 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.

In low risk environments and tasks it may be sufficient to categorise risks as High, Medium or Low.

2. Quantitative risk assessment

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)

Working Safely

This article defines safe working, the meaning of hazard and risk, hazard identification techniques, basic qualitative risk assessment, selecting or seeking advice on workplace precautions and assisting managers to prepare risk assessments. It concludes with a reminder of statutory responsibilities for health and safety at work.

The term "WORKING SAFELY" may be defined as:

"The collective actions of employees and managers to identify potential hazards in their workplace and either eliminate or control them to an acceptable level, with the common goal of preventing accidents and minimising loss to the compa

In order to work safely employees and managers alike must adopt a proactive approach to health and safety in their workplace that will require a genuine, visible commitment together with personal ownership structured around a control strategy.

A "HAZARD" is defined as "Anything with the potential to cause harm" Harm may include-injuries, ill-health or both. A "RISK" is defined as:

• "The likelihood that a particular hazard will give rise to harm (the extent of the risk covers the population affected and the consequences for them).

Risk therefore reflects both the likelihood and severity of the harm. Hazard Identification

Workplace hazards may be presented in many different forms according to their origin and their physical state. They may comprise of one or all of the following categories:

• Physical hazards - these may include excessive noise, extremes of temperature or exposure to other energy forms such as radiation and electricity. Alternatively, they may be mechanical in  nature such as traps, impact, contact and entanglement with machinery.

• Chemical hazards - these may comprise acids, alkalis, solvents, detergents or other substances known to be hazardous to health. They may produce toxic, harmful, corrosive or irritant effects when in contact with the human body.

• Biological hazards - diseases such as Hepatitis, Legionnaires, Leptospirosis and Anthrax may be contracted from humans or animals or transmitted by other media such as blood, water or the air.

Ergonomic hazards - consideration must also be given to the machine/operator interface. Hazards may include visual and postural fatigue, internal and external manual handling injuries and work related upper limb disorders associated with repetitive movement and strains.

The essential first step in risk control is to seek out and identify hazards. Relevant sources of information include:

• Legislation and supporting Approved Codes of Practice which give practical guidance and include basic minimum requirements.
• HSE guidance.
• Process information.
• Product information.
• Relevant British and international standards.
• Industry or trade association guidance.
• The personal knowledge and experience of managers and employees.
• Accident, ill health and incident data from within the organisation, from other organisations or from central sources.
• Expert advice and opinion and relevant research.

  There should be a critical appraisal of all routine and non-routine business activities.

People exposed may include not just employees but also others such as members of the public, contractors and users of the products and services. Employees and safety representatives can make a useful contribution in identifying hazards.

In the simplest cases, hazards can be identified by observation and by comparing the circumstances with the relevant information (for example single-storey premises will not present any hazards associated with stairs).

In more complex cases, measurements such as air sampling or examining the methods of machine operation may be necessary to identify the presence of hazards from chemicals or machinery.

In the most complex or high-risk cases (for example, in the chemical or nuclear industry) special techniques and systems may be needed such as hazard and operability studies (HAZOPS) and hazard analysis techniques such as event or fault-tree analysis. Specialist advice may be needed to choose and apply the most appropriate method.

  

Risk Assessment

A risk assessment is nothing more than a careful examination of what, at work, could cause harm to people, so that it can be established whether enough precautions have been taken or more should be done to prevent harm. The aim is to make sure that no one gets hurt or becomes ill.

Accidents and ill health can ruin lives and affect business too if output is lost, machinery is damaged, insurance costs increase, or if subject to prosecution.

The important things to be decided are whether a hazard is significant and whether it is covered by satisfactory precautions so that the risk is small. This must be done when assessing risks. For instance, electricity can kill but the risk of it doing so in an office environment is remote provided that 'live' components are insulated and metal casings properly earthed.

HSE Guidance - Five Steps to Risk Assessment STEP 1 - Look for the hazards

Start by walking around the workplace and looking afresh at what could reasonably be expected to cause harm. Ignore the trivial and concentrate on significant hazards that could result in serious harm or affect several people.

Ask other employees or safety representatives what they think. They may have noticed things that are not immediately obvious. Manufacturers' instructions or data sheets can also help spot hazards and put risks in their true perspective. So can accident and ill-health records.

Look for hazards that could reasonably expect to result in significant harm under the conditions in your workplace. Use the following examples as a guide:

• Slipping/tripping hazards (poorly maintained floors or stairs)
• Fire (flammable materials and sources of heat)
• Chemicals (battery acid)
• Moving parts of machinery (blades)
• Work at height (mezzanine floors)
• Ejection of material (plastic moulding)
• Pressure systems (steam boilers)
• Vehicles (fork-lifftrucks etc.)
• Electricity (poor wiring)
• Dust (grinding)
• Fumes (welding)
• Manual handling
• Noise
• Poor lighting
• Low temperature
    

STEP 2 - Decide who might be harmed, and how

Young workers, trainees, new and expectant mothers etc., who may be at particular risk

Cleaners, visitors, contractors, maintenance workers etc., who may not be in the workplace all the time
Members of the public, or people sharing the workplace, if there is a chance they could be hurt by work activities.

STEP 3 - Evaluate the risks and decide whether existing precautions are adequate or more should be done

Risk assessment requires assessment of two factors:

• Likelihood
• Severity

Likelihood

 A subjective assessment of the probability can be reduced to numbered categories as follows. (There are many versions of this technique).

• 5 = Certain or near certain 
• 4 = Very likely
• 3 = Likely
• 2 = Unlikely
• 1 = Very unlikely

Severity

This requires an assessment of the possible outcome of the hazard. Various factors will affect the severity. We can apply a similar procedure to the above and produce a numbered scale as follow:

• 5 = Death
• 4 = Major injury, disabling disease
• 3 = Lost time injury (over 3 days) 
• 2 = First aid injury
• 1 = Minor injury  

Risk Rating

Multiply the Severity number by the Likelihood number to arrive at the risk factor for each hazard. This produces a number on a scale of 1 to 25. These numbers provide an indication of priority and the extent of the risk, the higher the number the greater the priority and risk and therefore the more resources which may be needed to control the risk

This can easily be shown with the use of the risk matrix

Severity	Likelihood	5	4	3	2	1
5		25	20	15	10	5
4		20	16	12	8	4
3		15	12	9	6	3
2		10	8	6	4	2
1		5	4	3	2	1

 

As a rough guide:

16 to 25 is high risk and may require the provision of considerable resources involving special equipment, training, high levels of supervision and consideration of the most effective methods of eliminating or controlling hazards.

6 to 15 is significant risk and will require an appropriate level of resources.

1 to 5 is low risk but actions should still be taken to try to reduce these risks further if possible within reasonable limits

  

The aim is to make all risks small by adding to the precautions as necessary.

If it is found that something needs to be done, an "action list" can be drawn up to give priority to any remaining risks which are high and/or those which could affect most people. In taking action ask:

• Can we get rid of the hazard altogether?
• If not, how can the risks be controlled so that harm is unlikely?

In controlling risks, apply the principles below, if possible in the following order:

• Try a less risky option
• Prevent access to the hazard (by guarding)
• Organise work to reduce exposure to the hazard
• Issue personal protective equipment
• Provide welfare facilities (washing facilities for removal of contamination and first aid)

These are inexpensive precautions considering the risks. Failure to take simple precautions can cost a lot more if an accident does happen.

STEP 4 - Record your findings

If there are fewer than five employees an employer does not need to write anything down, though it is useful to keep a written record of what has been done. But if there are five or more people employed the employer must record the significant findings of the assessment.

This means writing down the significant hazards and conclusions. Examples might be

• Electrical installations - insulation and earthing checked and found sound
• Fume from welding - local exhaust ventilation provided and regularly checked
• Risk assessments ^-must be suitable and sufficient — this means showing that:
• A proper check was made by competent people to identify significant hazards
• Those who might be affected are identified
• All the obvious significant hazards were addressed, taking into account the number of people who could be involve

The precautions are reasonable and the remaining risk is low

STEP 5 - Review your assessment and revise it if necessary

Sooner or later new machines, substances and procedures that could lead to new hazards will be brought in. If there is any significant change, this should be added to the assessment to take account of the new hazard

Do not amend the assessment for every trivial change or for each new job, but if a new job introduces significant new hazards of its own, this must be considered in its own right and action taken to keep the risks down.

It is good practice to review the assessments from time to time to make sure that the precautions are still working effectively

Sources of Information

It is essential to keep abreast of new health and safety legislation and other developments in the health and safety field. Copies of the Acts and Regulations are sold by HMSO. These, however, generally give only a broad outline but it is useful to know the aim of the Act or Regulation.

Extensive health and safety information can be obtained from the Health and Safety Executive (HSE) telephone 01787 881165 (HSE Books), or via their website at http://www.hse.gov.uk/

Publications available include:

• Approved Codes of Practice
• Guidance
• Free leaflets on a wide variety of hazards

Information and advice on occupational health problems can be obtained from the Employment Medical Advisory Service (EMAS). The EMAS telephone numbers are available at local HSE area offices.

Local Authority Environmental Health Departments

Local authorities have responsibility for enforcing health and safety legislation in a wide variety of non-industrial premises, for example at various consumer services, launderettes, restaurants etc.

Organisations Involved in Safety

There are a number of organisations that are involved almost exclusively in Health and Safety and publish monthly journals that are valuable sources of information. These include:

• Institution of Occupational Safety and Health (IOSH) (see above)
• Royal Society for the Prevention of Accidents (RoSPA)
• British Safety Council 

Publications

There are a considerable number of books both general and specific on health and safety published and available from books shops.

British and European Standards
A number of these relate to safety such as BS EN 292 Safeguarding of Machinery and BS EN 166 Eye Protection. Whilst not having legal standing they will be used as yardsticks of good safety practice

Professional Institutes/Trade Organisations

These often produce codes of practice, for example the Institute of Electrical Engineers Regulations on Electrical Installations and Portable Appliance Testing.

Consultants and Specialists

Advice can be obtained from organisations such as Universities, Colleges, and Institutions who offer consultancy services as well as specialists in various areas.

Training Boards

Training Boards specify training standards but some of their publications provide substantial information on safety matters.

Manufacturers and Suppliers
Manufacturers, suppliers and importers have a duty under HASAWA Section 6 to provide information that will enable the users of their products to be able to use them with safety.

Manufacturers of Personal Protective Equipment (PPE) will meet the various British Standards relating to their products and provide the information on their levels of protection.

Trade Unions and the TUC

Unions and the TUC produce guides for Safety Representatives and many Unions also have full time Officers who deal with Health and Safety matters.

Posters and Signs
Employers must display certain statutory notices that provide information to employees. Other posters can be used to remind staff of general workplace hazards or to support specific safety campaigns. Signs remind employees of safety requirements and also draw to the attention of visitors who are not familiar with the workplace potential hazards.

Company Sources

• Company Safety Policy — a legal requirement with five or more employees in the company.
• Job descriptions — responsibilities, hazards and control measures.
• Accident statistics and records.

Health and Safety Statutory Legislation — Application to Employees

The following information is provided to remind people of their general health and safety legal responsibilities at work.

This information must also be provided at the workplace in the form of either:

• A poster prominently displayed in the workplace, entitled "Health and safety law — what you should know"; or
• An approved leaflet given to employees. The Health and Safety at Work etc. Act 1974 Section 7 - Duties of employees at work

1. To take reasonable care for the health and safety of themselves and others who may be affected by their acts or omissions.
2. To co-operate with their employer or any other person so far as is necessary to enable statutory duties or requirements to be complied with.

Section 8 - Duty on all persons

No person must intentionally or recklessly interfere or misuse anything provided in the interests of health, safety or welfare.

The Management of Health and Safety at Work Regulations 1999 Regulation 14— Employees' duties
Employees must use any machinery, equipment, substance etc in accordance with training and instructions given.

Employees must report to employers or others with responsibility for health and safety of employees:

• Work situations that represent serious and immediate danger to health and safety.
• Matters that represent shortcomings in the protection arrangements for health and safety.

Any failure to observe the duties outlined above could lead to individuals being prosecuted in the criminal courts

Revision Notes:- Risk Assessments

Five steps to a risk  assessment

IDENTIFY THE RISK

Identifying hazards in processes or activities can be achieved by, methodically studying and observing, talking to operatives, checking manufacturer's instructions, referring to accident and injury records, HSE reference books website etc.

WHO MAY BE AT RISK

When considering who may be at risk from particular hazards you should always look at particular groups,
The main groups of persons can be categorised as
Employees.
Young peoples.
Pregnant Women.
Site Visitors Contractors.
Neighbours.
You should also consider groups who may not be present throughout the process but may be visitors for a long or short period these include cleaners, site visitors, supervisory staff and maintenance personnel.

EVALUATE THE RISK

The first and one of the most important questions that should be asked when evaluating a risk is "Can we eliminate the risk altogether" change the working practice or introduce new machinery. If it is decided the risk has to stay the it is necessary to consider what controls can be adapted to minimise the risk, changes in working practices, restricted zones or barrier and guard placement.
One of the last considerations not because of its least importance but all other methods should be considered first, is the issue of PPE to personnel.

RECORD THE FINDINGS

After thoroughly going through all the hazards that can be identified it is important to record the fact that the hazard has been identified and whatever mitigating factors are to be adopted to reduce the risk of exposure to the hazard. This is what would be produced if a request was made to prove that a risk assessment has been undertaken.
It is also a good checklist to consider that you have identified all the areas where a hazard may exist you have considered who and how many may be exposed to a potential hazard and you are now sure that any remaining risks are low.

MONITOR AND REVIEW THE RISK ASSESSMENTS

It would frivolous to think that once we done the risk assessment that responsibility stops there, It is necessary to review the risk assessment on a regular basis (regular would be defined in the company safety policy) Various circumstances could force a review of a risk assessment i.e. changes in working practice, safety audit, introduction of new equipment or even after an incident where a near miss or accident has occurred.
Footnote
HAZARD
Something that has the inherent ability to cause harm or injury,
RISK
Is measured either high or low as what exposure someone my be either long or short term and they could be harmed by the hazard