Health and Safety Guidance Note No 26

Revised (June 2006)

THIS GUIDANCE NOTE IS TO INFORM YOU ABOUT THE BASIC

PRINCIPLES OF RISK ASSESSMENT

It is recognised that in order to be considered competent to carry out risk

assessment training will be necessary.

Regulation 3(1) of the Management of Health and Safety at work Regulations

1999, requires that a suitable and sufficient risk assessment is carried out.

The general principles are to:

• identify the hazards
• decide who might be harmed
• evaluate the risks
• decide whether existing controls are adequate
• record findings
• review assessment and revise if necessary

Definitions:

Hazard
Something with the potential to cause harm. (this can include substances or
machines, methods of work and other aspects of work organisation).

Risk
The likelihood that the harm from a particular hazard is realised. The extent of
risk covers the population which might be affected by a risk and that risk
therefore reflects both the likelihood that harm will be caused and its severity.
The risk assessment process needs to take account of the views of those
involved in the activity being assessed.

A risk assessment should:

• ensure significant risks and hazards are addressed
• ensure all aspects of the work activity are reviewed
• take account of non - routine operations e.g. maintenance, cleaning
operations etc.
• be systematic identifying hazards and looking at risks

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 • take account of the way work is being organised and the effects this
can have on health
• take account of the risks to visitors and contractors
• account should be taken of women of child bearing age when
carrying out risk assessments and identify the preventive and protective
measures that are required.

Control Measures
When considering what control measures are required the following steps can
be used in ranking order:
• eliminate the risk
• substitution (replacing existing chemical/substance with a safer
alternative)
• prevention (the use of fixed guards etc.)
• safe system of work
• written working procedures
• information, instruction and training
• supervision
• PPE (personal protective equipment)

It may be necessary to combined several control methods in order to reduce

the risks to an acceptable level.

Note: PPE should only be used as a last resort after considering all other
control methods. PPE can also be used to protect against any residual risks
that remain after other control methods have been employed.

Attached is revised General Risk Assessment Form.

For further information about risk assessment and risk assessment procedures
contact the University Health and Safety Advisor on ext.6103 or email
e.pirie@arts.ac.uk

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Guidance for use with general risk assessment form

This guidance relates to the boxes that make up the general risk assessment
form. Each box is numbered

Box 1
• The Identification code is assigned by the person completing the form and
is simply an identification code to improve record keeping.
• The review date should be set immediately after the first additional control
measure should have been completed. If there are no additional control
measures the review date should be between 6-18 months after the last
one. Frequency will depend on the risk level and likelihood that a task will
change.

Box 2
• A description should be as comprehensive as possible. A comprehensive
description will cut down the need to repeat the risk assessment for
different conditions and prompt the assessor when identifying risks. A
description should include the following:
o People involved
o Equipment used
o Time and place, including any foreseeable variations in conditions e.g.
weather, light level, physical environment
o Substances used
o Substances generated, including waste products
• Descriptions can be narrative or bullet point
• They should reflect what actually happens rather than what should happen
if everything is perfect.

Box 3
A comprehensive description in box 2 will have highlighted the hazards and
risk. They should be summarised here.
• A hazard is something with the potential to do harm i.e. working at height,
electricity, radiation, and deep water.
• A risk is the likelihood of that harm occurring. The matrix below can be
used to determine the level of risk and guide required actions.
• If there is more than one significant hazard there will probably be more than
one risk rating, this should be indicated in the second column

Box 4
• Existing controls should be listed. They should be considered when
assessing the risks involved in carrying out a task.
• If a control measure is in place but is not effective it should be noted here.
Control measures might be ineffective for a number of reasons for example;
o They might be awkward and therefore ignored by staff, often true of
PPE.
o They might make the job more complicated and time consuming
o Staff supervision is poor and the enforcement of control measures
lacking.

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• When a control measure has been identified it is a requirement that people
follow them not a choice. If a control measure proves to be unworkable or it
is possible to improve a control measure then they can be changed,
preferably in consultation with staff.
• If control measures are adequate and follow the principles of protection
there is probably no reason for changing them or imposing additional
measures. If they aren’t additional control measures are required. If, even
with the introduction of additional control measures the task is still too risky
it should not be carried out.

Box 5
• Risk rating is quite subjective, the scoring matrix, (see below) is for
guidance only as are the time frames for action. If the risk assessment
results in additional control measures the change in risk level should be
assessed. This should be done before the changes are made to illustrate
the benefits of changing existing control measures or introducing new ones.
If there are no changes to be made the re-scoring won’t be necessary and
this should be indicated in this box.
• The risk rating should reflect the highest risk rating from box 3.

Box 6
• Additional control measures will be required if the risks are not adequately
controlled or if the existing control measures are at the lower end of the
principles of protection i.e. training and PPE and alternative control
measures nearer the top of the principles of protection are practicable.
• If additional control measures cannot reduce the risk to an acceptable level
the task should not be carried out.

Box 7
• It is important to let people responsible for applying control measures know
that this required of them.
• A safe system of work is almost always necessary
• The risk assessment must be accepted by the manager of the area. The
person signing off the assessment shouldn’t change the assessment or
conclusion unless they are factually incorrect.

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Matrix Table explained

Multiple Single Major injury Lost time Minor injury Delay

deaths death
Certain Intolerable Intolerable Substantial Substantial Significant Significant
Very likely Intolerable Intolerable Substantial Substantial Significant Moderate
Likely Intolerable Substantial Substantial Significant Significant Moderate
May happen Substantial Significant Significant Significant Acceptable Acceptable
Unlikely Significant Moderate Moderate Acceptable Acceptable Trivial
Very unlikely Moderate Moderate Acceptable Trivial Trivial Trivial

A guide to relating damage to injury for the above matrix

(taken from Croner risk assessment , may 2004)

Multiple deaths < £1000,000 damage

Single death < £100,000 damage
Major injury < £10,000 damage
Lost time < £ 1000 damage
Minor injury < £ 100 damage
Delay No damage

Action prioritisation table following a risk assessment (taken form Croner’s risk assessment)

Risk Level Action and timescale

Trivial No action is required to deal with trivial risks, and no documentary records need be
kept
Acceptable No further preventive action is necessary, but consideration should be given to more
cost-effective solutions, or improvements that impose no additional cost burden.
Monitoring is required to ensure that controls are maintained.
Moderate Efforts should be made to reduce the risk, but the cost of prevention should be
carefully measured and limited. Risk reduction measures should normally be
implemented within three to six months, depending on the number of people exposed
to the hazard
Significant If an extremely harmful situation may arise, even if highly unlikely, a specific re-
evaluation of the task should be undertaken to establish more stringent controls.
Work should be closely monitored until the risk has been significantly reduced. This
reduction in risk should be achieved in a short time period.
Substantial Work should not be started until the risk has been reduced. Considerable resources
may have to be allocated to reduce the risk. Where the risk involves critical work in
progress, the problem should normally be remedied as soon as reasonably practicable
but within one to three months, depending on the number of people exposed to the
hazard.
Intolerable Work should not be started or continued until the risk level has been reduced. While
the control measure selected should be cost-effective , legally there is an absolute
duty to reduce the risk. This means that if it is not possible to reduce the risk even with
unlimited resources, then the work must not begin or must remain prohibited.

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 University of the Arts General Risk Assessment Form
1. Id. Code……
College / Pro-Rectorate University of the Arts London School / Dept. TBM
Name/s of Assessor/s Arhie Sinclair Location Wimbledon
Date of Assessment Review Date
Risk Assessment of: Degree Show Installation

2. Description of task / activity / area

Installation/de-install of degree show exhibition in the Sculpture department of Wimbledon
school of art. Involving multi screen video, and some book works.

3. Identification of hazards and risks

Identification of hazards and risks Risk rating
Trailing cables from electrical equipment present trip hazard moderate
Heavy lifting when building the walls and uninstalling from the exhibition space moderate
In haling dust from sanding down the paint on temporary walls significant
Electrocution from power points significant

4. Existing Control Measures

All cables neatly arranged in cable protectors or clipped to walls so trip hazard impossible
All helpers were provided with adequate manual handling training before starting work
All helpers provided with dust masks and regular hovering of the area
All electrical equipment/ extension cables PAT tested.

Are the control measures adequate? Yes X No

5. Overall risk rating

Likelihood Severity Total rating
With current control measures Unlikely Acceptable Acceptable
With additional recommendations
Multiple Single Major injury Lost time Minor injury Delay
deaths death
Certain Intolerable Intolerable Substantial Substantial Significant Significant
Very likely Intolerable Intolerable Substantial Substantial Significant Moderate
Likely Intolerable Substantial Substantial Significant Significant Moderate
May happen Substantial Significant Significant Significant Acceptable Acceptable
Unlikely Significant Moderate Moderate Acceptable Acceptable Trivial
Very unlikely Moderate Moderate Acceptable Trivial Trivial Trivial

6. Additional Control Measures Required

Will additional control measures reduce the risk to an acceptable level? Yes No

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