CHAPTER 2

Risk Assessment And

Management
 Learning Objectives
• To define what is risk assessment , hazard and
risk

• To explain the risk assessment process

• To describe the method of identifying hazard

• To use the risk assessment matrix

• To explain the hierarchy of control

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 Scope

• Overview of risk and risk

assessment

• Planning for risk assessment

• Risk control

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 Basic Components Of
Risk Management
• Hazard Identification

• Risk Assessment

• Risk Control

• Review
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 The 5 Steps Process of
Risk Management
Start
Classify Activities
(Work, Product, Services, Activities)

Identify Hazards

Determine Risk Risk = Severity X Likelihood

Decide if Risk is Tolerable

Risk Control Action Plan

Review Adequacy of Risk Control

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Hazard Identification

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 SOURCES OF HAZARDS
Man Unsafe acts
Machinery Installation, layout and design of
equipment
Materials Substances such as chemicals and
gases use in the workplace
Method The way people carry out their
work
Media Workplace condition i.e. air quality,
ventilation, lighting, noise, vibration
etc.

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 Classification and
Potential Sources of Hazards
Classification Example of Potential Sources of
of Hazards Hazards

Mechanical Pinch points, sharp points and edges,

overload or force a tool beyond its
capabilities and grinding wheel without
guard
Electrical Electrical cord insulation damaged,
electrical face plate or cover broken or
missing and fan cord insulation pulled
loose
Biological Exposed to airborne and blood borne
viruses, bacteria and fungus

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 Classification and
Potential Sources of Hazards
Classification Example of Potential Sources of
of Hazards Hazards

Chemical Exposed to carcinogens chemicals,

sensitizers and corrosive chemicals.

Ergonomics Repeated exposure to unnatural

postures and unnatural movement,
wrong design of workstation, tools and
task.
Psychological Stress, sexual harassment and violent at
work.

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 Pre-Assessment –
Information Gathering
• Information on the facilities, processes and
activities of the organization, including:
– Area Map
– Site plan(s); own and neighbor
– Process flow-charts
– Inventory of materials (raw materials,
chemicals, wastes, products, sub-products)
– Toxicology and other health and safety data
– Monitoring data
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 Pre-Assessment –
Classifying Work Activities
• Geographical areas within/outside the
premises;
• Stages in a production process, or in the
provision of a service;
• Defined the tasks (e.g. driving, window
cleaning);
• Identify the working groups;
• Land use; previous property use, future use.

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 Methods Of
Identifying Hazards
• Review of documents and publications

• Inspection and observation at the

workplace

• Measurement of the atmosphere,

monitoring the environment or medical
surveillance of workers

• Hazard Analysis
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Overview Of Risk And
Risk Assessment

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Objective of Risk Assessment
To reduce accident frequency and
severity

To minimize damage to property/

facilities

To provide safe and healthy working

conditions

To comply with legislation

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Benefits Derived from Risk
Assessments
Elimination of pain and suffering
Identify training needs
Formulate safety plans
Prioritize allocation of resources
Provide documentary evidence
Reduce financial losses
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 Definitions

• Risk assessment:
Determines systematically what the
hazards are, the probability of harm
occurring, and the possible consequences
of that harm and its severity
• Hazard:
A source or a situation with a potential
for harm in terms of human injury or ill
health, damage to property, damage to the
environment or a combination of these.
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 Definitions

• Risk:
A risk is the chance or likelihood that
someone will be harmed by the hazard

Risk =
Hazard effect (severity) x Likelihood of occurrence

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 Risk Assessment
• What is Risk assessment?
The process of evaluating the risks to
safety and health arising from hazards at
work.

Risk assessment results is documented and used for:

1. Risk control in OSH management
2. Future reference and review 20
 Why Carry Out
Risk Assessment?
• Gives organisations a more effective way
of managing hazards
• Requirement of the law e.g.
– OSHA 1994, CIMAH Regulations 1996 &
USECHH Regulations 2000
• Requirement of OSH management
system standards:
– MS 1722:2003,
– OHSAS 18001 and
– ISO 14001, etc
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 Risk Assessment Should Be
Carried Out For:
• Routine and non-routine activities
including emergencies;

• Activities of all personnel having access to

the workplace (including subcontractors
and visitors);

• Facilities at the workplace, whether

provided-by the organization or others.
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 When To Carry Out
Risk Assessment

• Before Operation

• During Operation

• After Operation

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 Review of
Risk Assessment
WHEN ??
• Companies should review their risk assessments and
risk management practices once every 3 years, or:
• Whenever there to any significant changes to workplace
processes or design.
• Whenever new machinery, substances or procedures
are introduced.
• Whenever there is an injury or incident as a result of
hazard exposure.

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• You should also review your company's risk assessment
at any time if you feel it is inadequate.

• Review whenever there are changes:

– internal
• changes or introduction of new
– Materials, machinery or processes, working
procedures,
– external
• Amendments of national laws and regulations
• Developments in OSH knowledge and technology 25
Types of review:
1. initial review, and
2. periodic review.

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WHO ??

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 Who Will Carry Out
Risk Assessment
• Person or persons trained to identify hazard and
risk assessment
– In some cases legally competent person,
example : Chemical Health Risk Assessor

• Consultation with and involvement of

workers
– Safety and health committee OR workers and
their representatives
• Involvement of supervisors
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The 5 Steps in Risk Assessment
Step 1:
Look for the hazard

Step 2:
Decide who might be harmed
and how

Step 3:
Evaluate and rank the risks

Step 4:
Record your findings

Step 5:
Review your assessment 29
Step 1: Look for the hazards

 Walk around the area subject to the assessment and look

what may cause harm
 Concentrate on significant hazards
 Involve the people who work in the area. Ask them what
they think the hazards are
 Look at manufacturers’ instructions and/or datasheets
 Look at the accident book and talk to occupational health
staff. This could help establishing the likelihood and
severity of any risks

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Step 2 : Decide who might be harmed and how

 Think about everyone who is likely to be affected by

the work going on in the area and who could be harmed
by the activities, the public and people surrounding in your
workplace

Step 3 : Evaluate the risks arising from the

hazards
 Decide for each significant hazard, if it cannot be eliminated
, whether the remaining risk is high, medium or low.
Ask questions:
 Have I done all the law requires?
 Are accepted industry standards being met?
 Reasonably practicable being done to provide a safe
workplace 31
Step 4 : Record your findings

Write down significant hazards and record most important

conclusion.

Need to prove that:

 A proper check was made

 Consulted people who might be affected
 Dealt with all obvious significant hazards and took account
the number of people could be involved
 Precautions taken were reasonable and any remaining risk
were low.
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Step 5 : Review assessment from time to time

Assessment do not need to be amended for every trivial change

but if new hazards are introduced, assessment must be carried
out.

A fresh assessment be carried out if;

 A new evidence or information that a risk could controlled in

a better way
 Current control do not meet the legal requirements of
relevant legislation.
 Change, new machines, new processes, substances, etc
 Lagging behind as accepted practice in the industry

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 Document Review

• Reports of accidents, accident

investigation and audits

• Information from publications

– Acts, Regulations and Codes of Practice
– Statistics
– Handbooks
– Chemical Safety Data Sheet (CSDS)

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 Inspection and Observation
• Types of inspections: statutory
inspection, periodic inspection, formal
and informal inspection

• Documentation - Checklist and inspection

worksheet (standard approach and
record)

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 Inspection and Observation
• Activities - to involve supervisors,
managers and employees

• Inspection outcome - to include actions

and timeframes

• Ensure follow up on action - to ensure

effectiveness

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 Exposure Monitoring
• Types of monitoring: area and personal
monitoring.

• Monitoring of:
– Noise
– Heat
– Radiation
– Air contaminants
– Chemicals etc.
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 Biological Monitoring
• Biological monitoring is a regular
measuring activity where selected
validated indicators of the uptake of toxic
substances in the human body are
determined in order to prevent health
impairment.

• This form of monitoring could entail

examination of, for example, blood, urine,
saliva and expired air.
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 Biological Monitoring

• Biological monitoring commonly features

in the health or medical surveillance
of persons exposed to hazardous
environments especially complying to
legal requirement i.e. USECHH
Regulations 2000 etc.

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 Medical Surveillance
• Health Surveillance is Warranted if:
– Substance is used in workplace

– Substance is hazardous

– Evidence or reason to suspect injury

– Atmospheric monitoring insufficient

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 Hazards Analysis

• Method use: (example)

– Job Safety Analysis (JSA)

– Hazards and Operability Studies (HAZOP)

– Fault Tree Analysis etc.

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 Job Safety Analysis (JSA)

• Job described in less than 10 steps

• Action verb used to describe job

• List things that can go wrong

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 Job Safety Analysis (JSA)
• Note:
– The term JSA includes the formulation
of safe work procedures using written
instructions for workers

– May still require other risk controls

– Supervisor and workers assist

– Ideally all jobs should have a JSA

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Hazards And Operability Studies
(HAZOP)
• To identify and evaluate safety hazard
in the process plant
• To identify operability problems
• New design or process
• Multidisciplinary brainstorming
• “What If” questionnaire method
• Focus on fire, explosion, toxic release
etc.
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 Fault Tree Analysis
• To analyse how and why incident could
occur.

• Graphic technique - traces branches of

events.

• To calculate probability of end event.

• Example: Water pumping system

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 Fault Tree Analysis
No Flow (T)

Pump failure Control valve (C)

failure to regulate
flow of water through
pump

Pump failure (A) Pump failure (B)

(automatic
standby pump)

•No water flow occurs if both pumps fail or if the control valve fails.
•If the individual initiating event probabilities P(A), P(B), and P(C) are known,
then the probability of P(T) the top or end event can be calculated.

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 Types of Risk Assessment

Approach:

• Qualitative Risk Assessment

• Semi-Quantitative Risk Assessment

• Quantitative Risk Assessment

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 Determining Severity

• Severity in terms of:

– Harm to health
– Damage to property
– Damage to environment
– Or the combination of the above

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 Severity
Determine severity categories i.e.:
• Fatality

• Major injuries (normally irreversible injury or

damage to health)

• Minor injuries (normally reversible injury or

damage to health requiring days off work)

• Negligible injuries (first aid)

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 Determining Likelihood of
Occurrence of Hazard
• Based on statistic & data, professional
judgement.

• Determine likelihood categories i.e.:

– highly likely,
– likely,
– highly unlikely.

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 Likelihood

• Very likely - could happen frequently

• Likely - could happen occasionally

• Unlikely - could happen, but only rarely

• Highly unlikely - could happen, but

probably never will

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 Qualitative Risk Table

Severity Likelihood
Very Likely Likely Unlikely Highly Unlikely
Fatality High High High Medium
Major Injuries High High Medium Medium
Minor Injuries High Medium Medium Low
Negligible Injuries Medium Medium Low Low

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 Semi - Quantitative
Risk Assessment
Determine severity categories i.e. :
• 4: Fatality & Permanent Disability

• 3: More than 4 days MC

• 2: Less than or 4 days MC

• 1: First aid and near misses

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 Semi - Quantitative
Risk Assessment
Determining Likelihood of Occurrence of
Hazard

• 4: Daily

• 3: Weekly

• 2: Monthly

• 1: Yearly 54
 Semi-Quantitative
Risk Assessment
LIKELIHOOD
Yearly Monthly Weekly Daily

1 2 3 4
SEVERITY

First Aid
and Near 1 1 2 3 4
Misses
Less than
or 4 days 2 2 4 6 8
MC
More than
4 days MC 3 3 6 9 12
Fatality &
Permanent 4 4 8 12 16
Disability

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 Quantitative
Risk Assessment
• Where the hazards presented by the
undertaking are numerous and complex,
and may involve novel processes, for
example in the case of large chemicals
process plants, detailed and sophisticated
risk assessments will be needed, and it is
appropriate to carry out a detailed
quantitative risk assessment.

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 Quantitative
Risk Assessment

• Quantitative risk assessment involves

obtaining a numerical estimate of the risk
from a quantitative consideration of
event probabilities and consequences.

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 Quantitative
Risk Assessment

• In carrying out quantitative risk

assessments, special quantitative tools
and techniques will be used for hazard
identification, and to estimate the severity
of the consequences and the likelihood of
realisation of the hazards.

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 Quantitative
Risk Assessment
• Where such methods and techniques are
used it is important that they are carried
out by suitably qualified and experience
assessors.

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 Risk Assessment Form
Risk
Activities / process / facilities/ Current Risk Legal
Hazard Effect Action & Recommendations
equipment Control Reqmt Risk
Severity. Likelihood.
Rating

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Risk Control

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 Principle of Control

•Substitution •Training and

•Modify process education
•Enclosure •Worker rotation
•Local exhaust •Enclosure of
•Fugitive worker
emission control •Personal
•Isolation monitoring
•Personal
protective devices
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 Consideration In Implementing
Risk Control
• Review measures regularly; modify if
necessary

• Comply with national laws and

regulations

• Reflect good management practice; and

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 Consideration In Implementing
Risk Control

• Consider the current state of knowledge

• Include information or reports from

organizations such as:
– DOSH, OSH services, and others.

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 Hierarchy Of Control
MOST EFFECTIVE
Elimination - remove the hazard.

FAIRLY EFFECTIVE
Substitution - use less hazardous one.
Isolation – isolate the work area i.e. X-ray machine in
restricted room
Engineering Control – design, isolation at source,
barricade, guarding,

LEAST EFFECTIVE
Administrative Control – safe work procedure, isolation
i.e. reduce exposure time and limit, training, signage etc
PPE - last resort. 65
 Summary

• The basis of OSH management is the

identification of hazard, risk assessment and
control
• Ways of identifying hazards varies from
inspection of the workplace to reviewing
legislation
• Risk assessment allows an organisation to build
a sound basis for managing hazard
• Hierarchy of hazard control starts by elimination;
use PPE as protection is the last resort

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