HEALTH AND SAFETY GUIDANCE

To: Heads of all Education Establishments January 2004

Cc’s Governors/Management Committees
Trade Union Safety Representatives
Employee Noticeboards
Education Intranet

Introduction

to

RISK
ASSESSMENT

Published by Health and Safety Section, Personnel,

Learning & Culture

© Oxfordshire County Council Learning & Culture Issue 3

 RISK ASSESSMENT

SUCCESSFUL MANAGEMENT PRACTICE

1. Introduction

Risk Assessment is a key element in the process of successful health and safety
management.

It requires managers and supervisors to be proactive and actually identify risks and,
more importantly, do something about them.

It is a far more efficient and cost effective way of dealing with health and safety
problems than merely responding to incidents as and when they occur.

Risk assessments can identify weaknesses and, when actioned,

lead to a safer, healthier and more productive work force.

Risk Management is Sound Management Practice

(A fact recognized by many successful organizations)

RISK ASSESSMENT HELPS SAVE MONEY

SA£ETY PAYS

2. Who should do it?

Risk assessments can be done on a local basis by supervisors of an activity.

Managers/Supervisors have direct control of the work activity and can therefore
influence the outcome of the activity providing they are competent i.e. they have had
suitable training and experience or a thorough knowledge of the work activity and the
hazards associated with it.

It is management’s responsibility to ensure that competent persons are appointed. In

more complex situations, the advice and assistance of a specialist may be needed.

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3. Training

Training in basic risk assessment techniques is essential for anyone undertaking risk
assessments. It is the Authority’s policy that risk assessments must be undertaken by
a competent person for the activity concerned, having attended a suitable training
course.

In circumstances where the competent person is not supervising the activity, the
responsible person must be involved in developing the risk assessment.

4 Legal Obligations

Under the Management of Health and Safety at Work Regulations, employers must
undertake a “suitable and sufficient” risk assessment of:

The risks to the health and safety of employees to which they are exposed whilst at
work; and

the risks to the health and safety of persons not in their employment arising out of
or in connection with their undertaking;

for the purpose of identifying the measures that employers need to take to comply
with their duties under the relevant statutory provisions.

As the Council employs five or more employees they must ensure that:

The significant findings of all risk assessments must

be recorded.

Any particular group at risk must also be identified.

Examples of special groups at risk may be young

persons, trainees, or employees with disabilities. There
may be a particular risk, which places certain groups at
risk, e.g. lone workers, highway operatives.

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 Risk assessment is a continuous and ongoing process and assessments may need
revising if there are changes which may affect the risk assessment, such as:

introduction of new working methods

new technology

reduction in the number of employees

replacement of equipment

if incident and accident investigations lead to question the validity of the original
assessment;

in any event risk assessments need to be formally reviewed at regular intervals

annually for most activities.

Risk assessments are required as part of all Health & Safety Regulations
Bleach

5. Risk and Hazard

Assessors need to appreciate the difference between “HAZARD” and “RISK”.

HAZARD is the potential to cause harm and is present in every work

activity. For example, a bottle containing bleach is a hazard. a r

RISK, on the other hand, is the likelihood of that potential being realised, and
so the extent of risk will be dependent on a variety of factors. For example, if the
bottle of bleach is contained in a locked cupboard, the potential of the hazard
being realised (RISK) has been REDUCED. However, if the bottle of bleach is left
accessible, the potential of the hazard being realised (RISK) has been
INCREASED.

NB. To avoid bleach being mixed with other hazardous substances, Oxfordshire County
Council has eliminated the use of bleach for cleaning purposes.

6. The Risk Assessment Process

The risk assessment process needs to be tackled in a systematic, logical manner,

preferable using an appropriate proforma, by an assessor trained in basic techniques and
who is familiar with the activity being assessed. The following approach is recommended,
using the proforma as in Appendix 1. A completed example of a risk assessment is given
in Appendix 2.

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Divide the Work Activity into Manageable components

Split the work activity being assessed into separate components in order that each part
can be adequately assessed or each component of the work activity, an assessment
needs to be undertaken considering the following issues:

What Hazards to Health and Safety Exist?

• In order to identify the hazards, it will be necessary to undertake some form of

observation of the work activity and utilise the experience, knowledge and expertise
of those involved with it, including their representatives.

• Past records of incidents, such as accidents and near miss reports,

will also be useful.

• Consideration must be given to the hazards posed to other

persons as well as employees.

• In identifying the hazards, consideration needs to be given to

what could happen, as well as what usually happens.

• For many of our employees, since much of their work is carried out
alone or in small groups throughout the county, this may result in
hazards arising from traffic, irate members of the public, or lack of
communication between themselves and their base.

• Many employees may work in offices, where hazards arise from the use of display
screens, lifting and handling, and electrical equipment. Display screens and manual
handling operations are the subject of more detailed assessments and so there is
no need to repeat these, but references should be made to them.

What Risks are Posed to Employees and Other Persons?

• A risk assessment comprises of an identification of the hazards present and an

estimate of the extent of risks involved.

• Existing precautions need to be taken into account (but remember that

just because safety rules exist does not mean that everyone adheres
to them). Indeed, this process may identify that employees are not aware of such
rules, or, if they are aware, do not appreciate their importance.

• For those employees undertaking work around the county with the public e.g.
education social workers, the nature of their work may create a risk from irate
members of the public leading to a risk of assault.

• Absence of communication between lone workers and their base

may lead to a major incident being undetected.

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 Some office work can be the subject of generic assessments, i.e. rather than every
office manager undertaking an assessment:
- the common factors could be combined into a generic assessment;
- supplemented by specific information for particular workplaces.

- County standards are essential for this approach – for example, a policy on
the safe use of display screens covering the physical hazards and ergonomic
considerations will, if implemented throughout the organization,
significantly reduce the risk of repetitive strain injury (RSI).

7. How do I assess the Level of Risk?

There is a need to determine the risk level achieved as a result of the assessment
in order to determine whether any additional measures are necessary. This can be
done by either:

• simple quantitative assessment techniques (multiplying the effects of a hazard by

the likelihood of its occurrence); or

• by giving it an overall rating of high, medium or low.

If existing preventative methods do not reduce the risks to a low level,

then consideration must be given to additional preventative measures.

There may be a need for a fuller assessment,

utilising the expertise of your Health and Safety Adviser.

The risk assessment should, on completion, form part of the

workplace health and safety policy document.

Employees must be informed of significant findings of the risk

assessment.

8. How do I know the Risk Assessment is adequate?

The adequacy of a risk assessment will be determined if, after an incident has
taken place, the assessment anticipated such an occurrence and specified the
preventative and protective measures required to avoid such an occurrence, or at
least reduce the risk of its happening to a low level
If such an incident occurs, the following questions will need to be addressed:
• What are the reasons for the incident?

?
• Were all the precautions specified being taken at the time?
If not, why not?
• Were training, supervision, monitoring of health and safety
and enforcement of safety procedures all adequate?
• Had significant findings of the risk assessment been drawn to the
attention of employees before the incident?
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9. What are the Principle Preventative Measures

In deciding on preventative measures, the employer needs to apply the following

principles:

• Wherever possible, AVOID the risk altogether.

• COMBAT RISKS AT SOURCE, e.g. if the steps are slippery, rather than install an
additional handrail, treat with a non-slip surface. If floors are slippery through spills,
examine the cause of the spills rather than treat the floor.

• Whenever possible, ADAPT WORK to the individual.

• Have adequate PROCEDURAL CONTROLS in place.

• Take advantage of TECHNOLOGICAL AND TECHNICAL progress

(often makes the work safer and more efficient).

• Ensure that adequate INFORMATION, INSTRUCTION,

TRAINING AND SUPERVISION exist.

• REVIEW risk assessment periodically, at least annually,

and if WORK ACTIVITY SIGNIFICANTLY CHANGES.

10. What are the benefits of Integrating a risk prevention an approach as part of overall
health and safety strategy

leads to gradual reduction of risk

helps identify priorities
ensure resources are being directed at greater areas of risk.
improves safety management within the organisation.
There is no doubt that risk assessment can be
• time consuming
• a sometimes lengthy process
• involving considerable management commitment.

Nevertheless, it can result in significant savings not just monetary, but also on legal
/humanitarian grounds. Risk Assessment can successfully identify and help prevent the
possible causes of incidents and accidents. Risk Assessment requires proactive measures to
have been taken to prevent such incident.

Once an effective risk assessment is completed, it requires regular review, at least

annually, and updating as working methods and circumstances change.

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 In any event, it is a legal obligation and must be completed – failure to undertake
a risk assessment will not only increase the risk of incident but will inevitably
lead to enforcement action, by the Health & Safety Executive (HSE).

Should you require any advice or assistance, please contact your

Departmental Health and Safety Adviser by Telephone on
01865-428-188 or by E-mail
[email protected].

Full guidance on how to undertake a Risk Assessment is given in the document.

“Five Steps to Risk Assessment”

available from HSE Books

Please remember the following:

Break work activities into manageable components.
Identify SIGNIFICANT risks liable to arise
(disregard TRIVIAL risk associated with life in general).
Ensure you have the RELEVANT INFORMATION – policies, procedures,
manufacturer’s instruction, etc – in order to take account of existing control measures.
RISK AVOIDANCE
Can the risk be eliminated altogether or an alternative method used to reduce the risk,
especially where considered high.
RISK REDUCTION
• Are all procedural controls operating effectively? Reference should also be made to
safe working practices, manufacturer’s instructions, etc.
(Where appropriate – There is no need to repeat the information).
• Examine technical controls, are they effective and regularly maintained?
• Remember the requirements for health surveillance, training, instruction, information
and supervision.
RISK REVIEWING
The risk assessment must be reviewed if there are significant changes to the work
activity, or in any event annually.

REMEMBER IT IS THE OUTCOMES

OF RISK ASSESSMENTS THAT
MATTER.
OUTCOMES CAN BE MEASURED! 7
 APPENDIX 1
Form RA1
Page.....Of.........

RISK ASSESSMENT RECORD

a.) Activity/Process/Operation

b.) What are the Health & Safety Hazards?

c.) What risks do they pose and to whom? (See checkpoint 2) Estimate
Risk Level
H/M/L*
(*see point 3)

d.) What measures have been taken to reduce the risks (See checkpoints 1,4,5 - 11) Level achieved
H/M/L

e.) What further action is needed to reduce the risk (state action/specify dates)

Name of Assessor ........................................ Signed by .................................... (12,13 &14)

Job Title ...................................................... Head of Establishment / Manager

Date of assessment....................................... Date ...........................................
Review Date (13): .......................................
CHECKPOINTS
1.Has all health and safety information been obtained? 8. Have employees (and other persons) been adequately trained/ instructed and
2.Consider the number of persons exposed informed?
3.Estimate initial risk level - high, medium or low 9. Has adequate supervision been provided?
4.Consider if elimination or safer substitution could be achieved. 10. Consider if personal protective equipment is required.
5.Consider all necessary control measures including procedural and 11. Is health surveillance required?
technical controls. 12. What arrangements have been made for monitoring the assessment?
6.Are the above controls to the required standard and regularly 13. How often is the assessment reviewed?
maintained? 14. Has the assessment been drawn to the employee’s attention?
7. Have emergency action plans been considered?
 OCC Education RA1 VG

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 APPENDIX 2
Form RA1

Page.....Of.........
RISK ASSESSMENT RECORD
a.) Activity/Process/Operation

Movement of people around building

b.) What are the Health & Safety Hazards?

Poor floors – uneven, slippery surface, tripping hazards, wet floor surfaces, impede access.

c.) What risks do they pose and to whom? (See checkpoint 2) Estimate
Risk Level
H/M/L*
(*see point 3)
Trips, slips and falls
Inability to use exit routes in an emergency situation/wheelchair users at
particular risks H
All employees and visitors using the buildings H

d.) What measures have been taken to reduce the risks (See checkpoints 1,4,5 - 11) Level achieved
H/M/L
Ensure flooring is properly maintained to County Standards
Store objects out of the way
Ensure all split liquids/ foods are dealt with promptly
Remove obvious hazards e.g. trailing wires, lifted carpets/mats. L
Treats slippery floor with non-slip treatments.
Ensure correct cleaning of all floor surfaces, to adequately remove surface dust.
Ensure areas are adequately signed.
Encourage good housekeeping
Ensure area is adequately lit.

e.) What further action is needed to reduce the risk (state action/specify dates)

Replace worn floors and floor covering e.g. mats/carpets as budgets allow.
Upgrade lighting on escape routes.

Name of Assessor .......J. Bloggs.................…. Signed by ........A.N.Other................ (12,13 &14)

Job Title ..........Caretaking Supervisor..... Head of Establishment / Manager
Date of assessment......Today............................. Date ........Today...................................
Review Date (13): ..One Year Later............
CHECKPOINTS
1.Has all health and safety information been obtained? 8. Have employees (and other persons) been adequately trained/ instructed and
2.Consider the number of persons exposed informed?
3.Estimate initial risk level - high, medium or low 9. Has adequate supervision been provided?
4.Consider if elimination or safer substitution could be achieved. 10. Consider if personal protective equipment is required.
5.Consider all necessary control measures including procedural and 11. Is health surveillance required?
technical controls. 12. What arrangements have been made for monitoring the assessment?
6.Are the above controls to the required standard and regularly 13. How often is the assessment reviewed?
maintained? 14. Has the assessment been drawn to the employee’s attention?
7. Have emergency action plans been considered?
 OCC Education RA1 VG
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