Introduction
Why it is Necessary to Carry Out Risk Assessments?
The objective of risk assessment is to prevent accidents and ill health by undertaking work in a safe manner. The Management of Health and Safety at Work Regulations 1999 requires employers and self-employed persons to assess the risk to workers and others who may be affected by their activities. Employers with five or more employees must also record the significant findings of their assessments. To maintain a safe workplace it is necessary to be aware of the risks involved and to ensure that they are properly controlled.
Who is Responsible?
The Responsible Manager has the responsibility of ensuring that suitable and sufficient risk assessments exist. Whenever planning a new task, the Manager or Supervisor must ensure that, a Risk Assessment is conducted.
The manager or supervisor may conduct the risk assessment or delegate it to a competent person to lead the process. All employees expected to undertake the task are encouraged to take part in the assessment process. To facilitate this aim, it is the Company’s aim to train all employees in risk assessment technique and encourage them to contribute to risk assessments.
The company regards risk assessment as a team activity!
Ideally, everyone involved in a task should contribute to the risk assessments; the assessments will then be:
- Based on a shared perception of the hazards and risks involved
- Considered necessary and workable
- Successful in preventing accidents
The Responsible Manager will review all risk assessments, any queries raised shall be discussed with the assessment team and consensus reached, before adoption.
Then the Responsible Manager shall ensure that the assessment leads to the establishment of a Safe Working Practice, before allowing work to commence.
When should Risk Assessments be conducted?
Carry out Risk Assessments every time a work activity is undertaken, where there is a significant health and safety risk to persons.
A suitable and sufficient risk assessment will identify the significant risks ignore trivial risks.
Review the assessment when there is a significant change to the task or after an accident, which may indicate that there is something wrong with the assessment.
It is good practice to review all risk assessments regularly, to check that they are still valid. It may be that changes to work practices develop, unnoticed. A regular review of risk assessments will ensure that we identify these changes.
The Company policy is to review risk assessments annually.
How to conduct a Risk Assessment?
A Risk Assessment involves a careful study of the task or work practice:
i)Define the task to be analysed.
ii)Identify what could go wrong and how it may harm people, not plant, or machinery.
iii)Determine what precautions are necessary to protect people from harm.
iv)Establish a Safe Working Practice, based upon the findings of the Risk Assessment.
The amount of detail in a risk assessment should be broadly proportional to the level of risk and should not lead to a complex set of paperwork, where completion of assessment pro-forma becomes an end in itself.
Risk Level Calculator
The table below identifies the level of risk.
Risk Rating = Severity x Probability
SEVERITY
/PROBABILITY
/RISK RATING
1 / No Injury / 1 / Very Unlikely / 1- 5 /LOW - Acceptable Risk (A)
2 / Minor Injury / 2 / Unlikely3 / +3 Day Absence / 3 / Likely / 6 - 14 / MEDIUM - More Analysis Required (M)
4 / Major Injury / 4 / Very Likely
5 / Death / 5 / Virtually Certain / 15 - 25 / HIGH - Unacceptable Risk (U)
Key:
1 – 5Low Risk - Acceptable, but steps should be taken to reduce risks as low as is reasonably practicable.
6 – 14Medium Risk - More Analysis Required, consider what further controls may be deployed.
15 – 25High Risk – Unacceptable, stop process/activity immediately. Further controls must be deployed before activity is started or resumed.
Explanatory Notes:
i)The function of this table is to identify Acceptable and Unacceptable risk.
ii)All risks identified as Unacceptable will require re-evaluation.
iii)Risks identified as requiring more analysis cover a broad range, from probably acceptable to probably unacceptable.
iv)Risks identified by this process as requiring more analysis may be Acceptable, although the control measures are still the same.
v)Reassess risks requiring more analysis to determine whether, or not, they are Acceptable. It is not necessary to reduce the rating of severity and likelihood to make them acceptable. Ultimately, risks are either acceptable or unacceptable.
vi)The table helps to follow the risk assessment ‘thought processes’.
Definition of Terms
Lead Assessor:The person managing the risk assessment process
Assessors:The persons conducting the risk assessment, in conjunction with the Lead Assessor
Assessment
Team:The Lead Assessor and Assessors working together to assess risk
Hazard: Something with the potential to cause harm
Hazard Effect: The consequence of a hazard arising
Severity: A measure of the seriousness of hazard effect, rated from 1- 5
Probability: The likelihood of an event occurring, rated from 1- 5
Risk: The measure of how probable that someone will be harmed by a hazard and how severe that harm may be
Risk
Assessment: The process of analysing a risk to determine its acceptability, before starting any work involving that risk
Controls:The measures or precautions deployed to reduce the risk posed by a hazard.
Risk Type:The Company recognises two risk types:
Present Risk
The risk assessed with existing controls deployed, if any.
Residual Risk
The risk assessed after deploying controls, or additional controls.
Risk Rating: A measure of the seriousness of risk, achieved by multiplying the severity rating by the probability rating. Refer to the Risk Level Calculator. The Company recognises three types:
LOW - Acceptable Risk (A)
A risk considered small enough to allow the assessed task to start or continue.
MEDIUM - More Analysis Required (M)
A risk not yet been clearly categorised as Acceptable or Unacceptable.
HIGH - Unacceptable Risk (U)
A risk considered large enough to stop the task or prevent the task from starting.
Review:Where previously completed risk assessments are re-evaluated after an accident or at specified time intervals
E4.01.1Procedure to Conduct a Risk Assessment
i)The Responsible Manager conducts a full risk assessment, when identifying tasks with hazards.
ii)A Lead Assessor, who may be the Responsible Manager, manages the assessment process. However, the appointee(s) must receive training in the Company risk assessment procedure, before leading on any assessments.
iii)The Lead Assessor shall use Assessors familiar with the task, wherever and whenever possible. Assessors shall have received training in risk assessment to enable them to contribute to the process.
iv)Conduct Risk assessments as a ‘team exercise’, led by the Lead Assessor.
v)The Lead Assessor completes the Risk Assessment Record - E4.01.1 F1, as follows:
a)Record all of the information required by the Heading Section of Form - E4.01.1F1.
b)Identify the Task / Activity.
c)Identify and list the Hazard - Column 1.
d)Identify and record the Hazard Effect - Column 2.
e)Identify and record the Persons at Risk - Column 3.
f)Detail existing control measures in place - Column 4.
g)Assess the Risk Rating – With Existing Controls.
- Assess the Severity of the hazard effect - Column 5.
- Assess the Probability of the hazard effect - Column 6.
- Calculate the Risk Rating and record - Column 7.
- Low - Acceptable (A)
- Medium - More Analysis Required (M)
- High - Unacceptable (U)
h)Should More Analysis Required or Unacceptable result, consider what additional Controls are required to reduce the Residual Risk to Acceptable - Column 8.
Assess the Residual Risk Rating with Controls deployed.
- Assess the Severity of the hazard effect - Column 9.
- Assess the Probability of the hazard effect - Column 10.
- Calculate the Risk Rating and record - Column 11.
Low – Acceptable (A)
Medium – More Analysis Required (M)
High – Unacceptable (U)
j)A Residual Risk Rating of Medium - More Analysis Required (M)
The Assessment team shall review the control measures deployed and their effectiveness and shall make a judgement that the risk is either:
(A) - Acceptable
(U) - Unacceptable
This judgement shall be confirmed and recorded - Column 12
- An (A) in Column 11 or 12 shall enable the task to start.
If it is not possible to deploy the Controls listed in Column 8, clearly, it is not possible to put an (A) in Column 12, and the job may not start.
- Consider additional controls to reduce the risk further and record- Column 13.
These controls are not necessary to allow the task / activity to continue. However, they are to manage the risk to the lowest reasonably practicable level.
m)When deployed, indicate with a tick - Column 14.
Explanatory Notes
i)The risk assessment thought process concludes with an acceptable or unacceptable risk decision, denoted in Column 11 or 12, leading to the work authorised or prevented.
ii)Before conducting a risk assessment, it is necessary to take account of as much background information as possible. All risk assessments benefit from the consideration of factors beyond the task itself. Factors, which should be considered, include:
a)Legislation; Acts, Regulations, Approved Codes of Practice
b)British Standards
c)HSE Guidance Notes
d)Trade association guidance
e)Experience in the Division or in the Company, including accident investigation
f)Experience and training of the ’Assessment Team’
g)Influence of additional factors i.e. the weather
E4.01.2Action Following a Risk Assessment Leading to the Establishment of Safe Working Practices
i)Upon completion of the risk assessment, the Lead Assessor forwardsthe completed risk assessments to the Responsible Manager.
ii)The Responsible Manager and Lead Assessor review the assessments, together.
iii)The Responsible Manager authorises the assessment by dating and signing the Risk Assessment Form – F4.01.F1.
iv)Should the Responsible Manager not agree with the assessment, The Responsible Manager discusses the assessment with the Assessment Team, and they reach a consensus before the Responsible Manager authorises the assessment.
v)The Responsible Managers will ensure that all risk assessments take account of statutory requirements, best practices and operating experience - Explanatory Note ii).
Residual Risk - Acceptable
i)If the risk assessment has shown that the residual Risks is Acceptable, then the Responsible Manager ensures that:
a)The control measures are maintained.
b)The risk assessment record is filed.
c)The assessment is reviewed and revised, as necessary.
ii)Before allowing the work to start, the Responsible Manager will:
a)Prepare and issue any necessary Safe Working Practices or Permits to Work, in accordance with the requirements of Section E4.02 or E4.03.
b)Ensure that all persons involved in the task know what is required of them and have received adequate training.
Residual Risk - Unacceptable
iii)If the risk assessment shows that some residual risks are High, the Responsible Manager will ensure that the task or activity does not start or continue until the residual risks are to acceptable levels.
iv)Where we identify a High risk during work in progress, the Responsible Manager will stop the work and ensure that work does not recommence until the residual risks are to acceptable levels.
Explanatory Notes
i)When considering what new or modified control measures can be introduced to reduce risks, assessors and managers should consider control measures in the following priority:
1Eliminate the hazard
2Combat at source i.e. by engineered methods - guards, LEV systems – ‘Safe Place’
3Develop and Implement Procedures i.e. Safe Working Practices, Permit to Work – ‘Safe Person’
4Personal Protective Equipment
5A combination of the above methods
Risk elimination and risk control by the use of physical engineering controls and safeguards - Safe Place, is normally more reliable than Procedures - Safe Person, which rely mainly on people following rules.
Reliance on Personal Protective Equipment is the least favoured option, as the equipment only provides protection when worn properly and maintained. The hazard is always present!
E4.01.3Procedure to Review Risk Assessments
i)Responsible Managers will review and repeat risk assessment whenever there is significant change to the working method, equipment used, competence of people doing the job, after an accident or any other factor which may materially affect the existing assessment.
ii)Responsible Managers will conduct an annual review of all unchanged work practices, and revise them, where necessary.
E4.01.4Procedure to Record and Maintain Risk Assessments
i)Responsible Managers shall ensure that all completed assessments shall kept together in a file entitled ‘Risk Assessment File’
ii)An Index Sheet, Form – E4.01.4F1 shall be maintained at the front of each file.
E4.01.5 Procedure to Record Information, Training and Instruction
i)The Responsible Manager shall ensure that all persons expected to undertake a task receive a copy of the risk assessment for that task. Issue shall be recorded on:
Employee’s Distribution Matrix - B2.4.3M1
Third Parties’ Distribution Matrix - B2.4.4M1
ii)The Responsible Manager shall ensure that persons in receipt of a risk assessment, pursuant to clause i), above, shall receive training and instruction in the content of the assessment, including the associated hazards and the precautions used whilst conducting the task. Training shall be recorded on:
Employee’s Training Matrix - E2.2.1M1
Third Parties, Contractor’s Induction Form
Issue Date: July 2005 / Company Procedures Manual / Page 1 of 8Issue Number: 4 / Health and Safety Management System