4.2 Principles and Practice of Risk Assessment

Question 1

The key legal requirements for the assessment and management of risk are contained
in

Answer 1

Regulations 3, 4 and 5 of the Management of Health and Safety at Work
Regulations 1999

Question 2

Regulation 3 - Risk Assessment

The employer is required to make a suitable and sufficient assessment of: (2)

Answer 2

 The health and safety risks to which employees are exposed whilst at work; and

 The health and safety risks to which people other than employees (i.e. visitors,
contractors, members of the public etc.) are exposed arising out of or in connection
with the conduct of the business.

Question 3

‘Suitable and sufficient’ is not defined in the Regulations. The ACoP suggests that a
suitable and sufficient risk assessment should do the following: (6)

Answer 3

 identify the risks arising from or in connection with work;

 be proportionate to the risk;

 consider all those who might be affected whether they are workers or others such
as members of the public;

 demonstrate that reasonable steps have been taken to identify hazards, e.g. by
researching relevant legislation, guidance, supplier manuals, manufacturers’
instructions or advice from competent sources;

 use relevant examples of good practice from within their industry; and

 be appropriate to the nature of the work and should identify the period of time for
which it is likely to remain valid.

Question 4

The HSE has defined risk assessment as

Answer 4

“simply a careful examination of what, in the workplace, could cause harm to people,
so that a decision can be made as to whether the precautions taken are satisfactory or
whether more should be done to prevent harm”.

Question 5

The key terms of hazard, harm and risk have been defined as follows:

Answer 5

Hazard: Anything that may cause harm, such as chemicals, electricity, working from
ladders, or an open drawer;

Harm: includes ill-health and injury; damage to property, plant, products or the
environment; and production losses or increased liabilities; and

Risk: The chance, high or low that somebody could be harmed by a hazard, together
with an indication of how serious the harm could be.

The assessment and management of risk is a natural part of day to day activities. A
simple example of crossing the road can be used to illustrate the key concepts.

Question 6

To be competent for straightforward risk assessments, risk assessors require: (6)

Answer 6

 Experience and training in hazard identification and carrying out risk assessments;
 Knowledge of the processes or activities to be assessed;
 Technical knowledge of the plant or equipment;
 Good communication and report writing skills;
 Ability to interpret legislation and guidance, and
 The right attitude for the task.

Question 7

The HSE advises a basic five step approach to the risk assessment process. They are…

Answer 7

Step 1: Identify the hazards
Step 2: Decide who might be harmed and how
Step 3: Evaluate the risks and decide on precautions
3(a) – Evaluate the risks
3(b) – Decide on precautions
Step 4: Record the findings and implement them
Step 5: Review the risk assessment and update if necessary

Question 8

Legislation requires special consideration be given to risk assessments of work
involving the following groups: (4)

Answer 8

(1) New and expectant mothers;
(2) Young persons;
(3) Disabled persons; and
(4) Lone workers.

Question 9

If pregnancy related medical conditions such as high blood pressure are a concern the
following option should be considered: (3)

Answer 9

 adjust working hours or working conditions or hours;
 offer suitable alternative work; or if that is not possible
 suspend on full pay for as long as is necessary to protect the health of the mother
and child

Question 10

Lone workers are those who work by themselves without close or direct supervision,
they usually fit into one of the following four categories:

Answer 10

(1) People in fixed establishments where only one person works on the premises, e.g.
in petrol stations or home-workers;

(2) People working separately from others, e.g. in factories, warehouses, or research
establishments;

(3) People working outside normal hours, e.g. cleaners, security, special production,
maintenance or repair staff;

(4) Mobile workers working away from their fixed base, e.g. plant installation or
maintenance contractors; agricultural and forestry workers;