Level 3 Risk Assessment

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 1

CIEH Level 3 Award in
Risk Assessment

–

Principles and practice

Walt Anderson

CIEH Level 2 and 3 Awards in Risk Assessment:

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Session 1

–3

1. Health and safety in the workplace
2. Legislation
3. Principles of risk assessment

CIEH Level 2 and 3 Awards in Risk Assessment:

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Introduction

• it is a moral requirement that employers protect

employees from risks arising from work activities

• laws regulating health and safety in the workplace

must be correctly implemented

• it makes economic sense to reduce the number

of days lost to preventable occupational injury
and sickness

CIEH Level 2 and 3 Awards in Risk Assessment:

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Occupational health and safety

• the safety and health of people in relation to

work, working and the working environment

CIEH Level 2 and 3 Awards in Risk Assessment:

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Accident

• an unplanned and uncontrolled event that could

or did lead to harm or damage

• This could also be a food safety related event

CIEH Level 2 and 3 Awards in Risk Assessment:

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Near miss

• an event or situation that did not result in harm

or damage but nearly did, in time or distance

• Product that was stopped from leaving the

factory or was recalled from depot

CIEH Level 2 and 3 Awards in Risk Assessment:

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Hazard

• anything with the potential to cause harm

CIEH Level 2 and 3 Awards in Risk Assessment:

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Risk

• the likelihood (chance/probability) that harm will

occur, the degree of harm and the number of
people affected

CIEH Level 2 and 3 Awards in Risk Assessment:

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Control measure

• something (a control) that prevents or reduces risk

CIEH Level 2 and 3 Awards in Risk Assessment:

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Work-related fatalities 2006/7

Top three causes:
1. Falls from height
2. Being struck by falling/flying objects
3. Being struck by transport/vehicles

Total 221 reported fatalities

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 11

Major injuries 2006/07

Top three causes:
1. Slips, trips and falls
2. Manual handling
3. Struck by falling/flying objects

Total 28,000 reported major injuries

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 12

‘Over-three-day’ injuries 2006/07

Top three causes:
1. Manual handling
2. Slips, trips and falls
3. Struck by falling/flying objects

Total 141,350 reported over-three-day injuries

CIEH Level 2 and 3 Awards in Risk Assessment:

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Work-related ill health 2006/07

Top three causes:
1. Stress
2. Musculoskeletal disorders
3. Skin disease

Total 30 million days lost due to ill-health

CIEH Level 2 and 3 Awards in Risk Assessment:

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Working days lost

• 36 million each year
• 30 million due to ill-health (13 million stress and

11 million musculoskeletal disorders)

• 6 million due to accidents

CIEH Level 2 and 3 Awards in Risk Assessment:

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Costs to employers

• sick pay, overtime and temporary labour provision
• lost time and production delays
• damage or loss of product, raw materials

and equipment

• insurance investigation time
• fines and legal costs
• loss of contracts
• loss of business reputation

CIEH Level 2 and 3 Awards in Risk Assessment:

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Costs to employees

• loss of earnings due to sickness
• pain and physical suffering endured
• reduced quality of life as a result of injury
• loss of pension and other entitlements

CIEH Level 2 and 3 Awards in Risk Assessment:

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Costs to society

• medical and rehabilitation costs
• payment of incapacity benefit
• loss of tax revenue
• investigation and legal costs

CIEH Level 2 and 3 Awards in Risk Assessment:

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Annual cost of occupational ill-health

• £5–11 billion – health conditions (treatment)
• £29 billion – worklessness (benefit costs)
• £28–36 billion – loss of income taxes
• £63 billion – worklessness (lost production)
• £25–35 billion – informal care
• £5–11 billion – health care.

Total cost to the UK of occupational ill health
in 2008

– £103–£129 billion

CIEH Level 2 and 3 Awards in Risk Assessment:

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Benefits of improved health
and safety

• greater productivity caused by healthy, content

efficient workforce and greater profits (employer)

• improved corporate social responsibility image

and company reputation (employer)

• better working environment (employee)
• improved standard of living (employee)
• a good health and safety record is the

cornerstone of a civilised society (society)

CIEH Level 2 and 3 Awards in Risk Assessment:

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Reporting of Injuries Diseases
and Dangerous Occurrences
Regulations 1995 (RIDDOR)

• work-related fatalities
• major injuries
• over-three-day injuries
• work-related diseases
• dangerous occurrences

CIEH Level 2 and 3 Awards in Risk Assessment:

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Benefits of reporting and
investigation

• to prevent recurrence
• so that the HSE and local authorities can identify risks

and investigate incidents

• to identify if the law has been broken through

enforcement inspector investigations

• to identify hazards/risks and take preventative action
• to find out whether controls are working
• to identify trends of incidence
• to learn lessons and share these with others
• for insurance and compensation purposes

CIEH Level 2 and 3 Awards in Risk Assessment:

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Under-reporting of dangerous
occurrences

• employees reluctant to report apparently

trivial events

• seen as time consuming and costly
• lack of understanding of the accident triangle
• difficulty defining what constitutes a dangerous

occurrence/near miss

CIEH Level 2 and 3 Awards in Risk Assessment:

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The accident triangle

CIEH Level 2 and 3 Awards in Risk Assessment:

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Four factors affecting health
and safety

• occupational
• organisational
• environmental
• human

CIEH Level 2 and 3 Awards in Risk Assessment:

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Occupational factors

• type of work
• occupational risks
• risks caused by equipment and machinery
• need for protective clothing or equipment

CIEH Level 2 and 3 Awards in Risk Assessment:

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Organisational factors

• the management attitude to health and safety
• the effectiveness of health and safety systems
• the level of risk assessment
• the existence of a health and safety policy
• provision of health and safety training

CIEH Level 2 and 3 Awards in Risk Assessment:

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Environmental factors

• temperature
• ventilation
• noise
• dust or fumes in the air
• light

CIEH Level 2 and 3 Awards in Risk Assessment:

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Human factors

• individual health
• behaviour
• fatigue
• language
• competence
• training

CIEH Level 2 and 3 Awards in Risk Assessment:

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Health and Safety at Work etc.
Act 1974

• Section 2 – duties of employers to employees
• Section 2 – safety policy
• Section 3 – duties of employers and

self-employed to others

• Section 7 – duties of employees

CIEH Level 2 and 3 Awards in Risk Assessment:

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‘So far as is reasonably practicable’

Control health and safety risks except where the
cost (in terms of time, effort and money) of doing
so is ‘grossly disproportionate’ to the reduction in
the risk

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 31

Employers’ duty to employees

The general duty of employers to employees is
described under Section 2 of the Act:
‘It shall be the duty of every employer to ensure,
so far as is reasonably practicable, the health,
safety and welfare of all his employees’

CIEH Level 2 and 3 Awards in Risk Assessment:

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Employers’ duties

• maintaining plant and systems of work
• ensuring safety and absence of risk to health
• the provision of information, instruction, training

and supervision

• the provision and maintenance of a working

environment that is safe

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 33

Employers’ duties

If five or more staff employed, a health and
safety policy:
• a short statement of commitment by the

employer signed and dated by a senior person

• details of staff responsibilities for health and

safety and related tasks

• details of the arrangements made to promote

health and safety

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 34

Employees’ duties

• follow safe systems and safe methods of work
• wear personal protective equipment and clothing
• report any damage or defects
• report any dangerous situation
• suggest where health and safety might be improved
• follow the information, instructions and training given
• remain alert to risk
• do not do anything that will put yourself at risk
• do not do anything that will put anyone else at risk
• do not interfere with or misuse any health and

safety device provided to protect people

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 35

Employees’ duties

• take reasonable care
• take reasonable care of others
• co-operate with employers or anyone else for reasons

of health and safety

• follow instructions and training in the use of machinery,

equipment, substances, transport equipment, or
safety devices

• inform employers of any dangerous work situation
• inform employers if health and safety could be

improved

• not interfere with anything provided for the

purposes of health and safety

CIEH Level 2 and 3 Awards in Risk Assessment:

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Management of Health and
Safety at Work Regulations 1999

• Regulation 3 – Risk assessment
• Regulation 4 – Principles of prevention
• Regulation 16 – Risk assessment for new or

expectant mothers

• Regulation 19 – Protection of young persons

CIEH Level 2 and 3 Awards in Risk Assessment:

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Regulation 3

– Risk assessment

The employer must assess the risk to:
• the health of employees
• the safety of employees
• the health and safety of anyone who might be

affected by the employer’s business and activities

CIEH Level 2 and 3 Awards in Risk Assessment:

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Risk assessment review

An assessment shall be reviewed by an
employer when:
• there is reason to suspect it is no longer valid
• there has been a significant change to the

matters to which it relates

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 39

Records

Where an employer employs more than five
employees he shall keep a record of:
• the significant findings of the assessment
• any group of his employees identified by it as

being especially at risk

CIEH Level 2 and 3 Awards in Risk Assessment:

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Young persons

No employer shall employ a young person for work:
• which is beyond their physical or psychological

capacity

• involving harmful exposure to dangerous agents
• involving harmful exposure to radiation
• involving the risk of accidents due to lack of

experience or training

• where there is a risk to health from extreme

cold or heat, noise or vibration

CIEH Level 2 and 3 Awards in Risk Assessment:

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Young persons

An employer of young people must take into account:
• inexperience, lack of awareness and immaturity
• layout of the workplace and workstation
• nature, degree and duration of exposure to

physical, biological and chemical agents

• form, range and use of work equipment
• organisation of processes and activities
• extent of health and safety training provided
• risks from certain specific and specified

harmful agents, processes and work

CIEH Level 2 and 3 Awards in Risk Assessment:

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New and expectant mothers

• those who are pregnant or have recently

given birth

• protect the mother and the unborn child

CIEH Level 2 and 3 Awards in Risk Assessment:

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Regulation 4

– Principles of

prevention (schedule 1)

Actions employers must take to prevent and reduce risk:
• avoid risks
• evaluate risks that cannot be avoided
• combat risks at source
• adapt the work to the individual
• adapt to technical progress
• replace dangerous with non-dangerous
• develop an overall prevention policy
• give collective measures priority over individual ones
• give appropriate instructions to employees

CIEH Level 2 and 3 Awards in Risk Assessment:

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Other regulations

• Control of Substances Hazardous to Health

Regulations 2002

• Health and Safety (Display Screen Equipment)

Regulations 1992

• Manual Handling Operations Regulations 1992
• Control of Noise at Work Regulations 2005
• Control of Vibration at Work Regulations 2005
• Work at Height Regulations 2005

CIEH Level 2 and 3 Awards in Risk Assessment:

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Substances hazardous to health

Control of Substances Hazardous to Health
Regulations 2002
• assess the risks
• prevent or control exposure
• eliminate or substitute

CIEH Level 2 and 3 Awards in Risk Assessment:

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Display screen equipment

Health and Safety (Display Screen Equipment)
Regulations 1992
• assess the risks
• reduce risks

CIEH Level 2 and 3 Awards in Risk Assessment:

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Manual handling

Manual Handling Operations Regulations 1992
• avoid
• assess the risks
• reduce risks
• provide information about the weight and

distribution of weight of the item

CIEH Level 2 and 3 Awards in Risk Assessment:

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Noise

Control of Noise at Work Regulations 2005
• assess the risks
• reduce risks
• observe working practices
• measure the level of noise
• assess exposure values

CIEH Level 2 and 3 Awards in Risk Assessment:

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Vibration

Control of Vibration at Work Regulations 2005
• assess the risks
• reduce risks
• observe working practices
• measure the level of vibration
• assess exposure values

CIEH Level 2 and 3 Awards in Risk Assessment:

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Work at height

Work at Height Regulations 2005
• assess the risks
• avoid working at height where possible
• prevent falling

CIEH Level 2 and 3 Awards in Risk Assessment:

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Enforcement

• authorities / officers

– Health and Safety Executive

– Local Authorities

• powers

– entry and inspection

– notices

– other powers

• courts and penalties

– prosecutions

– imprisonment and fines

CIEH Level 2 and 3 Awards in Risk Assessment:

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The role of risk assessment

A risk assessment is simply a careful examination
of what, in your work, could cause harm to people,
so that you can weigh up whether you have
taken enough precautions or should do more
to prevent harm

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 53

Common law duty of care

• imposes a duty on employers to care for their

employees and protect them from risk

• employees (and others) can sue employers for

compensation if they have been injured as a
result of a breach of this duty

• risk assessment plays a vital role in determining

whether there has been a breach

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 54

A suitable and sufficient risk
assessment

• clearly identify the risk
• provide detail proportionate to the risk
• be based on specialist advice if the risks increase

or are more specialised

• consider ‘others’

• indicate how long the risk assessment remains valid

• provide details of the evidence on which it

is based

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 55

Sources of information

• external sources
• internal sources
Sources must be:
• up to date
• relevant and appropriate to the type

of business or situation

• authoritative and reliable

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 56

External sources of information

• HSE and HSE website www.hse.gov.uk
• HSE publications
• the internet
• trade associations
• trade unions
• Business Link
• chambers of commerce
• universities and educational establishments
• encyclopaedias, journals and other publications
• employer bodies (for instance, the Federation

of Small Businesses or the Institute of Directors)

CIEH Level 2 and 3 Awards in Risk Assessment:

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Internal sources of information

• health and safety policy
• risk assessments
• accident/incident/sickness records
• team meetings and briefings
• intranet
• safety representatives and committees
• training records

CIEH Level 2 and 3 Awards in Risk Assessment:

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The process of risk assessment

1. Identify the hazards
2. Identify who might be harmed and how
3. Evaluate the risk and decide on precautions
4. Record findings and implement them
5. Review assessment and update if necessary

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 59

Identify the hazards

• walk around your workplace
• ask employees
• visit the HSE website or call HSE Infoline
• contact trade associations
• check manufacturers’ instructions and data sheets
• check accident and ill-health records
• consider long-term hazards to health

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 60

Identify who might be harmed
and how

• groups of people who may be harmed
• workers with particular requirements and risks
• cleaners, visitors, contractors, maintenance

workers etc, who may not be in the workplace
all the time

• members of the public
• others in a shared workplace
• ask employees

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 61

Evaluate the risk and decide on
precautions

• observation
• analysing accident and health trends
• staff consultation
• use existing research
• create a simple risk rating chart

CIEH Level 2 and 3 Awards in Risk Assessment:

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Evaluating risk

• What is the probability or likelihood of

harm occurring?

• How serious is the potential harm?
• How many people are at risk?

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 63

Evaluating risk

– factors to consider

Simple matrix

CIEH Level 2 and 3 Awards in Risk Assessment:

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Risk rating chart

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 65

Risk rating chart

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 66

General principles of control

• avoid risk altogether if possible
• evaluate the risks that can not be avoided
• combat risks at source
• adapt the work to the individual
• take advantage of technological and technical advances
• implement a risk prevention strategy
• give priority to measures which protect the

whole workforce

• ensure that workers are competent to do their tasks
• promote a positive health and safety culture in

the organisation

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 67

Common control measures

• providing proper induction for new workers
• placing signs and notices
• arranging training, information and instruction
• ensuring supervision
• providing protective equipment and clothing
• providing safe means of access and egress
• providing first aid facilities
• providing welfare facilities
• having a safety policy and safety systems

of work

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 68

Slips, trips and falls

– controls

• keeping the workspace tidy
• ensuring floors are level
• maintaining floors
• making sure surfaces have good grip
• avoiding changes in level
• managing spillages
• providing appropriate footwear
• banning running

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 69

Manual handling

– controls

• reducing the load
• reducing frequency of movement
• choosing healthy and fit workers
• reducing stooping movements
• reducing twisting or turning movements
• using mechanical aids
• automating and mechanising procedures
• marking weight on loads

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 70

Fire

– controls

• removing naked flames from the building
• encouraging good housekeeping to remove potential

sources of fuel

• installing fire detection system
• installing and maintaining fire alarms and fire points
• providing fire fighting equipment
• creating safe emergency routes
• installing fire doors
• enlisting fire wardens
• providing safe places of assembly

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 71

Recording risk assessments

• no statutory rule
• businesses employing five or more must record

significant findings

• all businesses should record results to monitor

risk and controls

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 72

Recording risk assessments

The record must demonstrate that:
• a proper check was made
• there is an understanding of who might

be affected

• all the obvious significant hazards, taking into

account the number of people who could be
involved, were dealt with

• reasonable precautions were taken and the

remaining risk is low

• staff or their representatives were involved

in the process

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 73

Devising a plan of action

• make a list, beginning with the most important changes
• identify a few cheap or easy improvements
• look at long-term solutions
• train employees to control remaining risks
• make sure that the control measures stay in place
• allocate responsibilities
• regularly update the plan
• set a review date

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 74

Reviewing risk assessments

The law requires a review of risk assessments:
• when no longer valid
• due to significant changes.
• Other reasons for reviewing risk assessments:
• cases of ill health being reported
• accidents, incidents or near misses occurring
• as part of a wider monitoring of health and safety
• in the case of a claim for compensation
• when an enforcement officer calls
• as part of staff training and development

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 75

Preparing to carry out a risk
assessment

• collect forms and equipment required
• examine previous risk assessments
• check any relevant committee minutes
• check existing safety policies and procedures
• use accident/incident book and records of absences

for staff

• collect any necessary documentation
• gain access to training records
• inform workers
• assess the risks for your risk assessment

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 76

Specialised risk assessment

• the nuclear industry
• jobs involving electricity or gas
• jobs involving hazardous chemicals
• mining
• diving
• working on an oil rig
• working at height
• manual handling tasks
• working under stress
• slip test, noise assessments or display screen

equipment may require specialist analysis

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 77

Competency

• a ‘competent person’ can be defined as

someone who has had sufficient training and
experience or knowledge and other qualities to
enable them properly to undertake a task

• ENTO National occupational standards HSS6 is

the national standard for competence in risk
assessment

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 78

Competency

A competent risk assessor will understand:
• legislation
• workplace hazards
• the aims and objectives of risk assessments
• procedures for carrying out a risk assessment
• the particular health and safety risks and the

precautions to be taken

CIEH Level 2 and 3 Awards in Risk Assessment:

slide 79

Competency

• resources required
• appropriate information sources
• what to do with the results of the risk assessment
• importance of dealing with and reporting risks
• limitations, job responsibilities and capabilities
• where to find expert advice and guidance
• the work areas and people being assessed
• work activities in area being assessed
• effective communication methods

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