SG7:09

Guide to Risk Assessments

1.0 INTRODUCTION

This guidance outlines how employers should complete their risk assessments as required by the Management of Health
and Safety at Work Regulations. As employers you must carry out an assessment to identify the hazards, evaluate the
risks to employees and identify any control measures which should be implemented. Remember you are assessing those
activities you carry out on a daily basis.

The following is primarily directed at scaffolding operations. However employees must also consider the ancillary
operations related to any storage yard, maintenance and transport activities. Some of the guidance that follows therefore
relates to this.

2.0 FLOWCHART
IDENTIFY TASKS / ACTIVITIES (3.0)

DETERMINE THE HAZARDS (4.0)

ENVIRONMENT MATERIALS EQUIPMENT
WORK PROCESSES
Consider the surrounding Consider existing materials Consider the equipment
Consider the work, how will it
environment, is it very hot, and the materials used in the being used directly for the
be done. Break it into
humid, cold, at height, in a work process. Identify those work and those items in the
individual processes and
confined space, are you that are hazardous eg., surrounding area or used by
determine those aspects that
working in an occupied corrosive, flammable, a third parties. Identify
could cause an accident or
building, or in and around biological agent, hot or cold, hazards with there use and
dangerous occurrence. (4.1)
other contractors. (4.2) heavy, ect. (4.3) close proximity (4.4)

WHO WILL BE EXPOSED (5.0)

EMPLOYEES CONTRACTORS GENERAL PUBLIC SPECIAL GROUPS

Consider which employees Consider other contractors Consider members of the Consider / identify groups
are likely to be harmed by working near or with you.. public who may be in the who might be particularly
the identified hazards, Identify the hazards your area. e.g., working in at risk, e.g. young persons,
include all direct labour work may cause for others occupied premises, or children, people with
and also the indirect labour and those areas where close to existing traffic and disabilities or with
e.g. management conflicts may arise pedestrian routes. language difficulties
(5.1) (5.2) (5.3) (5.4)

ASSESS SIGNIFICANT RISKS (6.0)

Ask yourself, is somebody is likely to be harmed? Where there is a risk of harm consider:

CONSIDER & IMPLEMENT CONTROLS (7.0)

ELIMINATE THE RISK (7.1) NO

CONTROL THE RISK (7.2)
It is always best, if possible, to avoid the risk altogether. Therefore you It is essential to do as much as is reasonably practicable to prevent
should ask yourself the following questions. Can the hazard be removed accidents and ill health by making the workplace, plant and equipment,
completely? Can the job be done in another way or by using a different, materials and procedures safe. This can be done by physical or
less hazardous, material? Can we make design changes / improvements? mechanical means of hazard control, known as safe place controls, by
providing training, instruction and safe procedures, known as safe person
controls and by the issue and wearing of personal protective equipment,
YES safe PPE controls. It is usually best to implement controls from all
CHANGE THE JOB OR PROCESS AND categories to reduce risk as far as possible.

ELIMINATE THE RISK SAFE PLACE SAFE PERSON SAFE PPE

risk reduction protective devices safety boots
engineering/ safe systems of work safety helmets
design supervision training gloves eye
Are there any remaining hazards / risks that need further controls? control of exposure information / instruction protection overalls
housekeeping welfare harnesses gas
Have any of your controls introduced additional hazards? detectors
YES NO

RECORD THE FINDINGS (8.0)

If you have more that five employees you must record the significant findings of your assessment as an aid to controlling the hazards and the
risks. You should also ensure that the information recorded on the risk assessment is passed on to your employees. If you have less than five
employees you do not have to record your risk assessment but you are obliged to inform your employees of the risks and the steps to be taken
to control them.

REVIEW & REVISE (9.0)

You must regularly review and where necessary revise your risk assessments to take into account, process, environmental, material and
equipment changes. Risk Assessments should also be reviewed following an accident or dangerous occurrence to ensure that the control
measures are revised to prevent such an incident reoccurring, or following a change in legislation or industry best practice after the accident or
incident statement.

NASC 1 of 6 January 2009

 3.0 IDENTIFY TASKS / ACTIVITIES

Your first step is to prepare an inventory of all the work tasks under your control. At this stage DO NOT consider if these
tasks contain hazards. Tasks to be considered can range from something as simple as changing a toner cartridge, to
something as large and complex as constructing a cantilever scaffold for a bridge. The former example involves opening
the printer, removing the existing cartridge, removing the protective packaging from the new toner cartridge, placing the
new cartridge in position, etc. However, the latter example cannot be so easily split into all its component tasks, so it will
have to be broken down further into more manageable tasks which can then be individually examined.

So in order for you to adequately assess risks associated with your tasks, a manageable level of detail is required and this
demands that some of your tasks are broken down further into component parts. Each of these tasks is then examined in
turn, scrutinising, the use of plant and equipment, the use of substances and materials, processes, and the place where
it is carried out.

4.0 DETERMINE THE HAZARDS

Having drawn up your inventory of tasks, the next stage is for you to identify the inherent hazards associated with the task.

So What Is A Hazard?
A hazard is the inherent property or ability of something to cause harm, loss or damage. A hazard has the potential to
interrupt or interfere with a process or person. It is the potential to cause harm.

You must identify all the hazards associated with the activity i.e. those aspects (for example substances or equipment,
work processes, or work environment) which have the potential to cause harm. If there are specific Acts or Regulations to
be complied with, these may be able to help to identify the hazards.

So What Type of Hazards Could Cause Harm?

Listed below are a number of examples, which are regular causes of serious and fatal accidents or ill health:
1. Falls from height of people and objects 6. Fire and explosion
2. Electrical contact 7. Structural collapse
3. Striking by moving vehicles 8. Repetitive movements and physical strain
4. Contact with moving machinery 9. Manual Handling
5 Contact with hazardous substances 10 Noise

5.0 WHO WILL BE EXPOSED

For a complete risk assessment you must consider all potential groups, not just those employees directly involved in the
task. You must consider others who might be affected. Do not forget employees, delivery drivers, subcontractors, visitors,
the general public and trespassers.

The following can be used as an initial guide to identifying the persons who may be at risk:

5.1 Employees: Direct: operatives, supervisors, The effect of a hazardous substance on an operative may depend
managers, inspectors, on factors such as
administrators • age – young people may be at greater risk due to
inexperience
Indirect: maintenance workers, • sex – pregnant women
cleaners, emergency staff, • state of health – someone with asthma will be at greater
security staff, delivery personnel risk from respiratory sensitisers

5.2 Other employersʼ operatives, supervisors, When working on a site that incorporates a number of contractors
personnel managers, inspectors, you must take those contractors into account when completing your
administrators; maintenance assessment. Identify problems the work may cause for others at
workers, cleaners, emergency the site, or problems they may cause for those doing the work and
staff, security staff, delivery agree with them the necessary precautions. Then inform the
personnel; any subcontract trade. principal contractor or whoever is controlling the site what has been
agreed

5.3 Visitors and the emergency services, invited and Identify problems the hazardous substance may cause for others
General Public uninvited visitors, occupiers, who may be affected by your work and where necessary
members of the public, neighbours implement control measures

NASC 2 of 6
5.4 Special Groups Young employees; You must consider whether young persons are to be employed and
Some hazardous if so, whether any special precautions are required due to such
substances may present factors as:
particular problems to a) their inexperience;
certain individuals or b) their immaturity and lack of awareness of risk;
groups of people within the c) the nature of the tools and equipment they may have to use as
categories listed above. part of their training;
Which will call for them to d) the environment they have to work in; and
be identified and excluded e) risks from hazardous substances.
from that activity If a significant risk to the young person still remains after completing
your risk assessment, then you must not employ young workers to
do this work.
New employees; Those employees new to your organisation, even if qualified, might
be at high risk in certain activities until they have adequate time to
familiarise themselves with your working practices or they have
had adequate supervised experience.
Individuals with disabilities or increased risk of a hazard causing them harm. It does not
medical conditions necessarily mean these employees should be prevented from
working in a particular activity but rather, extra control measures
may be required to protect them. E.g. Asthma sufferer working in a
confined space

6.0 ASSESS SIGNIFICANT RISKS

RISK is the chance or probability of loss, an evaluation of the potential for failure, it is the likelihood that harm will result
in a particular situation or circumstance. Another way of defining risk is that it is the probability that a hazard will result in
an accident.

Thus having identified the existence of a hazard, you must attempt to assess its level of risk in order to identify and
prioritise your control measures. Many techniques have been developed over the years, however you should recognise
that risk assessment is not a precise science and there are no specific rules or requirements as to how you quantify the
risk. We suggest you adopt a system of analysis based on subjective judgements using generalised data on risk.
Therefore to assess the significant risks of a particular hazard you must ask yourself the following questions:
What is the likelihood or probability of an accident or incident occurring?
What would be the severity of the outcome, in terms of injury, damage and loss?
What would be the approximate number of the people affected?
What is the frequency of exposure to risk?
What is the maximum possible loss?

7.0 CONSIDER AND IMPLEMENT CONTROLS

Once you have identified your hazards and assessed their risks, you should consider whether all the existing control
measures you have in place are adequate to prevent and protect people from injury. Take into account all of your existing
preventative or precautionary control measures, they may already reduce the risk sufficiently in terms of what needs to be
done to comply with relevant statutory provisions. BUT are they working properly? Does action need to be taken to ensure
they are properly maintained? Are they enough?

Prevention 7.1 Elimination Elimination involves removing the hazard completely. Examples are:
1. removing the trailing cable hazard by using battery operated tools;
2. handling materials with a fork lift truck or hoist instead of manually;
3. replacing fragile roof material with a solid roof;
4. redesigning a delivery area to remove the need to reverse vehicles.

Reduce the risk It is often possible to reduce the risk at source, or to use a safer alternative.
at source The following are examples:
1. choosing less flammable solvent to replace a highly flammable solvent (if a non-
flammable alternative is not available);
2. replacing a substance which is “very toxic” with one that is “harmful”;
3. installing a machine with a lower noise level;

Engineering / Improved design or process engineering can bring about changes to provide better
design operator protection. This may entail, for instance, liaison with designers, manufacturers
and importers of work equipment and of substances used in the construction process.
The implementation of the CDM Regulations aims to make the work safer by design,
redesign layout, introduce safer equipment and materials, redesign / plan the work
sequence to reduce the risks.

3 of 6
NASC
 Enclosure & This means that you enclose or contain the risk in such a way that access to it is denied.
containment Thus,the containment of an offending agent or environment stressor, such as machinery
noise, prevents its excessive noise in the working environment. Enclosure includes full
and partial enclosure.

Isolation & The isolation of a process using potentially dangerous substances or equipment may
separation simply mean relocating it to a controlled area, thereby separating the majority of the
workforce from the risk. In this case, it is necessary to have a system for limited access
into the controlled area.

Protective devices Devices can be provided to keep persons away or protect persons from a hazard.
Examples are:
1. a push stick, used to push material towards a dangerous part of a machine;
2. electricians insulated hand tools;

Control 7.2 Safe System of A safe system of work is a definition, usually in writing, of the correct methods, plant,
Work equipment, process, etc to follow for a certain task. It is necessary to emphasis that this
measure requires you to introduce high standards of supervision and control where there
may be a high degree of foreseeable risk, this will include a defined discipline procedure
for those employees who disregard or modify your system of work.

It is important to remember that by introducing measures to reduce risk (e.g. mechanical

handling) you must ensure that these measures are properly assessed also. (e.g.
competence to operate and maintenance etc.)

Supervision and The level of supervision you are required to provide will depend on the level of risks and
Training the competence of your employees involved. Therefore you should determine how often
your managers / supervisors actually verify control measures. If the employees involved
are unskilled or trainees then you should also take this into account when deciding
whether your existing degree of supervision is appropriate.

You must ensure that all of your employees are capable of carrying out the tasks you
entrust to them. Training is an important way of achieving competence and will be
required at all levels. Under present legislation training must be carried out when:
1. an employee is first recruited; and
2. when there are new or increased risks as a result of:
• transfer or new responsibilities • new technology
• new or changed work equipment • new or changed systems of work

Information and Information about risks and control measures must be supplied to employees, and to
instruction others such as clients etc. in certain cases (Management of Health and Safety at Work
Regulations 1999) This is an important requirement for you to consider. Are your
employees aware of the control measures and how to use them? Do they know the safe
systems of work? If the answer to these basic questions is NO then the likelihood of the
control measures not being used is increased.

Instructions, written or verbal, may be issued to personnel on what they must or must not
do to deal with a specific hazard. Employees are under a duty to comply with instructions
(Management of Health and Safety at Work Regulations 1999). Instructions are
issued on a day-to-day basis by your managers and supervisors for all aspects of your
work, not just health and safety.

Housekeeping Maintaining high levels of housekeeping can be an important control measure in the
prevention of accidents and occupational diseases. You should place an emphasis on
keeping the workplace and working area clear, to prevent slip and trip hazards, keep the
equipment in good order, and provide appropriate welfare.

Personal hygiene In certain situations, you may be required to supply and enforce a high level of personal
and welfare hygiene. Provision and maintenance of welfare amenities for your employees is an
provisions important support system to enable the implementation of personal hygiene policies.
Under the Management of Health and Safety at Work Regulations 1999 and
Construction (Design and Management) Regulations 2007 you must supply where
appropriate, suitable and sufficient welfare facilities.

Personal protective The provision and use of PPE, such as eye protection, ear protection, safety boots and
equipment (PPE) gloves, should be seen as the last resort A sole reliance on PPE as a means of protecting
your employees from risks is a highly dangerous strategy. It relies heavily on your
employees, who are exposed, using or wearing the PPE all of the time they are at risk.
However in reality we are all aware that employees simply do not, will not, or cannot wear
PPE for long periods of time. You must therefore acknowledge that it requires a high
degree of supervision to ensure that all your employees use or wear the PPE all the time
they are exposed to the risk.

All PPE you issue to your employees should be subject to a risk assessment in
compliance with the Personal Protective Equipment at Work Regulations 1992 in
order to assess the suitability of the PPE prior to use.

NASC 4 of 6
 Scaffolding Risk Assessment
Affected
Risk Residual
Hazard At Risk Preventive/Control Measures Person
Assessment Risk
Assessment

Contact with delivery/ Scaffolders, supervision, site Materials to be delivered/collected from site by HGV utilising an agreed traffic
collection vehicles personnel and the general public Medium route. Site assistance to be used for reversing, and in areas where driverʼs vision Low
is restricted.

Manual handling during Scaffolders Materials to be unloaded/loaded into an agreed storage area by forklift, crane or
unloading/loading and during man handled. Materials to be transported to the work area by forklift, HGV, tractor
movement of materials on site and trailer, barrows or man handled. Materials to be raised or lowered by passing
Medium Low
hand to hand or utilising a gin wheel and or rope. When handling materials good
8.0 RECORD THE FINDINGS

manual handling technique to be utilised. Client to co-operate with manual

handling requirements.

Abrasion, splinters from handling Scaffolders All site personnel to wear suitable gloves whilst handling scaffold materials.
scaffold boards, lubricant from Medium Low
handling scaffold fittings

Trips and slips over our Scaffolders, supervision, site Work area to be barriered off by suitable means to prevent access, storage of
materials whilst being stored on personnel and the general public materials within the work area will be subject to good housekeeping. Where it is

5 of 6
site or whilst being used during Medium not possible to maintain barriered off areas storage of materials to be subject to Low
erection/dismantle good housekeeping. Client to ensure general access and egress on sire remains
suitable.

Fall of materials during Scaffolders, supervision, site The work area is to be barriered off using suitable means to prevent access.
movement on site and during personnel and the general public Materials to be stored by suitable means to prevent inadvertent movement i.e.
Medium Low
erection and dismantle scaffold fittings to be bagged. Personnel to wear safety helmets and safety boots.
Safety nets and/or fan protections to be erected when adjacent to public access.

Fall of persons during erection Scaffolders and supervision Scaffolders to wear a suitable full body safety harness and work from a minimum
and dismantle 3 board wide properly supported working platform. The harness to be used in
accordance with current NASC Guidance Note SG4 “The Use of Fall Arrest
Medium Low
Equipment Whilst Erecting, Altering & Dismantling Scaffolding” Working at height
to be avoided where practicable and MEWPS, Advanced Guardrail and Collective
Fall Prevention Systems to be used, where practicable.

Collapse of scaffold during Scaffolders, supervision, site Scaffold to be erected in accordance with BS5973 / BSEN 12811 or the design
erection and dismantle personnel and the general public drawing. The scaffold will be erected and dismantled progressively. Ties will be
Medium Low
erected/dismantled progressively with the scaffold. Storage of material on the
assessment formats, visit www.hse.gov.uk/risk or reference HSE “Five Steps to Risk Assessment” Guide.

scaffold will be kept to a minimum

Access to scaffold during Site personnel and the general On commencement of erection and dismantle an “incomplete” scaffold sign to be
erection, prior to formal public High/ displayed adjacent to the access routes. Physical barriers to be erected to prevent
Low
inspection, handover and during Medium access.
dismantle
hazards and risks. Employers must pass on information to their employees about significant risks and the steps they have
Employers with five or more employees must record the significant findings of their assessment as an aid to controlling

taken to control them, even where they employ less than five people. For more information and examples of risk

NASC
 9.0 REVIEW AND REVISE

Regulation 3(3) of the Management of Health and Safety at Work Regulations 1999 requires that you
review your risk assessment where “ there is reason to suspect that it is no longer valid: or there has been a
significant change in the matters to which it relates”. You should also remember, that the implementation of
any control measures will not themselves ensure adequate control unless their effectiveness is reviewed.

Whilst every effort has been made to provide reliable and accurate information, we would welcome any corrections to information provided by the Writer which
may not be entirely accurate, therefore and for this reason, the NASC or indeed the Writer, cannot accept responsibility for any misinformation posted.

NASC 6 of 6
NASC, 4TH FLOOR, 12 BRIDEWELL PLACE, LONDON EC4V 6AP
TEL: 020 7822 7400 FAX: 020 7822 7401
[email protected] www.nasc.org.uk