generalidades sc06

RISK

MANAGEMENT

STFC Safety Code No 6

Rev. 2.2, Issued on February 2014

Note - This document may have been superseded by a more recent version. Please check the SHE website for the most up-to-date version of this document.

Issue Number: 2.2 Issue Date: 21/02/2014 Author: Matthew Dickson Page 2 of 18

Revisions

1 Initial Launch January 2007

1.1 Added Quantitative Risk Assessment August 2007

2.0 Following audit of RA code, code updated to include On the job risk assessment, modify responsibilities and remove group leader role and checklist. Addition of new responsibility to consider the need for the use of structured risk assessment tools (HAZOP etc). Remove Group leader responsibilities.

October 2012

2.1 Amendments to training and audit pages May 2013

2.2 Minor change to Line Manager training requirements

February 2014



STFC RISK MANAGEMENT

CONTENTS

1. Purpose

2. Scope

3. Definitions

4. Responsibilities and Duties

4.1. Department Director

4.2. Line Managers/Supervisors

4.3. Staff/Facility Users/Visitors/Tenants

4.4. SHE Group

Appendix 1 Risk Assessment Training Guide

Appendix 2 Pro Formas

a. On the Job

b. Standard Qualitative Risk Assessment

c. Quantitative Risk Assessment

Appendix 3 - Line Managers/Supervisors Checklist

Appendix 4 HAZOP/HAZAN Assessments

Appendix 5 - Training Requirements

Appendix 6 Audit Checklist



1. PURPOSE

Under the provisions of the Management of Health and Safety at Work Regulations (1999) a suitable and sufficient risk assessment must be carried out for any work activity or procedure, and the risk assessment of significant risks documented.

Risk Assessment is the fundamental basis of effective safety management and is the requirement of much safety legislation, for example:

The Control of Substances Hazardous to Health Regulations 2002 (COSHH);

The Genetically Modified Organisms (Contained Use) Regulations 2000;

Display Screen Equipment regulations 1992 (DSE);

The Provision of Personal Protective Equipment at Work Regulations 1992; and

The Manual Handling Operations Regulations 1992 (as amended). Use of this code should identify those areas where such specialist assessments are required and address those where no such specific legislation applies. The aim of this code is to ensure that risk assessment is carried out consistently across the STFC and to a standard that is suitable and sufficient Critical to the effectiveness of any general risk assessment process is its pragmatic application. STFC is required to reduce risks as far as is reasonably practicable (i.e. taking into account the cost and effort needed to reduce the risk against its likelihood of occurrence and potential severity) and then manage any residual risk. It is not required to eliminate risk. Risk assessment is a simple tool to prompt the pro-active consideration of the health, safety and environmental implications of any activity and should be used to inform decisions about how an activity is carried out. Pragmatic application of this code relies on the judgment of managers and employees to ensure that:

those activities where significant injury, ill health or environmental harm could arise are the subject of documented risk assessment; and

the risks associated with changes to the scope or intent of work during the execution of work are also managed.

The results of undertaking a risk assessment for an activity can range from endorsement of the current health and safety controls, through avoidance of an activity, or identification of additional actions to further minimise risk, and in the extreme, ceasing an activity where the health and safety of those involved, or environmental impact cannot be managed.

2. SCOPE

The requirements of this code apply to all activities undertaken by STFC staff whether working at STFC sites or other locations on Council business.



Carrying out a general risk assessment may indicate the need to conduct a specialist risk assessments, for example working with chemicals, confined space work etc. These specialist assessments must be referenced in the general assessment but the specialist assessment does not need to be rewritten in the general risk assessment. The assessment of risks for facility user experiments is the responsibility of those responsible for an experiment, for example User Experimental Risk Assessments, and based on hazard information provided by users. This code does not apply to contractors working on behalf of the STFC. The responsibility to undertake a risk assessment for contractor activities lies with the contractors management. The STFC has a clear responsibility to ensure that all relevant information to enable the assessment to be undertaken by the contractors management is provided. Tenants are responsible for undertaking their own risk assessment according to their own systems and standards. However, STFC should be satisfied that these risk assessments are documented where there is direct impact beyond the tenants boundary that could affect STFC staff, contractors, visitors etc.

3. DEFINITIONS

3.1 Hazard, Risk and Significant.

Hazard and risk are the most two important concepts in risk assessment: A HAZARD is something that has the potential to cause harm, SIGNIFICANT HAZARDS are those with actual or potential causes of:

a) Serious harm to the individual or the environment; or b) Harm, the severity of which depends on the extent and frequency of

exposure to the hazard; and c) Harm that does not usually occur, or is not usually detectable until a

significant time (years) after exposure to the known hazard.

3.2 RISK is the likelihood that actual harm could occur, together with an indication of how serious the harm could be. Consequently risk can be assigned a value system (e.g. numerical 1-36, or descriptive words, high, medium, low), to allow those involved to prioritise action.

SIGNIFICANT RISKS are those higher value risks where there is a real likelihood of harm occurring to an individual or the environment.



3.3 Suitable and Sufficient Risk Assessment

Risk Assessment A process where the following are identified:

the hazards of a particular activity;

those who could be affected by these hazards;

how they could be affected;

the existing hazard controls;

the magnitude of the risk is estimated and assessed to determine whether risks have been reduced as far as is reasonably practicable; and

Where the risks have not been reduced as far as is reasonably practicable identifying additional controls that will need to be implemented prior to undertaking the activity to further reduce the likelihood or severity.

This generic process is undertaken in one of three ways. The decision to use which of the three ways is subjective, and based on the assessors perception of the risks involved. Training (Appendix 5) aims to establish some consistency across STFC, but the three ways relate to three levels of perceived risk Low, Medium and High:

Low - Mental Risk Assessment the thought process that all sensible individuals undertake every moment of every day when assessing the risks associated with activities from crossing a road to lifting a heavy load.

Medium - On The Job (OTJ) Risk Assessment - An on the spot risk assessment, which many are used to doing mentally, when changes or additions to planned work occur, or if carrying out a quick task. The quality of mental risk assessments can be improved by using a very simple pro-forma designed to prompt the consideration of a wide range of hazards, called an OTJ RA.

High - Documented Risk Assessment - STFC uses a standard method to undertake and document risk assessments for activities with significant risks; this methodology is described in Appendix 1.

USE By an individual for very quick, less than 5 minute, routine tasks. For example changing a filter on a vacuum pump.

USE For risk assessment of tasks that are brief, likely to take less than 30 minutes, and are unlikely to be repeated. For example changing a water pump. This method can also be used to manage changing risks within a larger job. If the need to make a change arises, this method can be used to assess the suitability of current controls.

USE For complex tasks, and those simple tasks where significant risks exist.



Suitable and Sufficient risk assessments are those that:

are carried out in sufficient detail (relative to the complexity of the job), to help others understand what the risks are and how they are being managed; and

take account of all reasonably foreseeable significant risks.

4. RESPONSIBILITIES AND DUTIES

4.1 Department Director shall:

4.1.1 Ensure all significant safety, health and environmental hazards within their area of responsibility have been risk assessed and a record of the risk assessment recorded in the STFC risk assessment database (SHE enterprise), and that these risk assessments are actively reviewed every 2 years.

4.1.2 Ensure that sufficient resource is made available to implement risk control

measures which have been identified by risk assessment and where those measures are considered reasonably practicable.

4.1.3 When their responsibility includes User Facilities, ensure that a system to

Risk Assess Facility User Experiments is put in place and managed by their staff.

4.2 Line Managers/Supervisors shall:

4.2.1 Undertake risk assessments for all activities, existing and planned, within their control. Where the risks are significant the assessment should be documented. Risk assessments should be carried out in conjunction with those who are planning and doing the work. See Appendix 1 and Appendix 2.

4.2.2 Ensure that as appropriate, actions arising from risk assessments to implement additional controls are prioritised (when a range of actions compete for resource and priority), and implemented prior to undertaking the activity.

4.2.3 Ensure that risk assessments are communicated to all those who are undertaking an activity and who may be affected by an activity.

4.2.4 Ensure that all documented Risk Assessments are reviewed in light of:

o Changes to workplace procedures, activities or equipment; or o Changes to guidance and legislation; or o An incident occurring.

As a minimum all documented risk assessments should be reviewed every two years to ensure they still reflect the way an activitys risks are managed



effectively. The Line Managers check list in Appendix 3 can be used as a tool to help review risk assessments.

4.2.5 Ensure that the controls identified in all risk assessments continue to be

maintained and implemented where the activities continue to be undertaken. In areas where significant hazards are present the control measures may require more frequent monitoring. The results of such monitoring should be used to inform the review of any risk assessment.

4.2.6 Ensure that where staff, or those working for them, may be required to

undertake activities for which the use of the OTJ risk assessment process is necessary that those staff, and others, are given training and instruction in the use of the OTJ assessment process. See Appendix 2.

4.2.7 For major projects with multiple task risk assessments, including projects

using the STFC Project Management system, managers should consider if the overall project requires the use of project risk assessment tools such as HAZOP, HAZID or HAZAN (see Appendix 4). Where such tools are employed a member of the STFC SHE Group must be involved.

4.3 Staff/ Facility users/ Tenants/ Visitors shall:

4.3.1 Actively contribute to the risk assessment process for the activities they are involved in. See Appendix 1 and Appendix 2.

4.3.2 Discuss with their line manager or supervisor if any significant risks cannot be managed using the resources immediately available.

4.3.3 Ensure they understand the health, safety and environmental risks associated with activities they undertake, as appropriate asking their supervisor or line manager. Where the risks are significant, read a copy of the risk assessment to ensure they understand the control measures that should be in place prior to undertaking that activity.

4.3.4 Employ the On the job (OTJ) risk assessment process to manage additional risks that arise during the course of work that has not been subject to a documented risk assessment but warrants more than a simple mental risk assessment. See Appendix 2.

4.3.5 Implement the control measures established by risk assessment whether it is a mental risk assessment an OTJ risk assessment or documented risk assessment, for activities they undertake.

4.4 Safety, Health & Environment (SHE) Group shall:

4.4.1 Maintain electronic storage systems to provide:

a secure database of risk assessments, and management of actions arising from the risk assessment process; and

data to support and assess the implementation of this code across the STFC for management teams and committees.



APPENDIX 1: RISK ASSESSMENT TRAINING GUIDE

(click here to see attached document)



APPENDIX 2A: ON THE JOB RISK ASSESSMENT- IDENTIFY HAZARDS & EVALUATE THE RISK

Date: Task: Related Risk Assessments:

Name: Building/Area:

Physical injury hazards Likelihood* Severity* Risk*** Action to be taken

1: Mobile plant

2: Moving parts of machinery

3: Manual handling

4: Fall from Height/Roof Access P

5: Access and egress

6: Slips trips and falls

7: Pressure systems P

8: Electrical shock P

9: Hot work/fire P

10: Explosion


11: Ionising radiation F

12: Lasers F

13: Ultraviolet light

14: Hot/Cold objects

15: Temperature

16: Noise/vibration


17: Hazardous substances (COSHH) F

18: Micro-organisms

19: Asbestos F

20: Fumes/Gas


21: Weather

22: Lone working

23: Confined spaces

24: Other

25: Other

26: Other

* Score L If incident Very Unlikely/Severity Slight, Score M: If incident Unlikely/Severity Moderate and Score H If incident Likely/Severity High, (See guidance for definitions). Likelihood x Severity = Risk

** Risk Values of MH, HM and HH require fully documented risk assessment with additional control measures

Describe elements that create specific risks:

Main risks identified, and control measures required:



The On the Job risk assessment pro forma aims to prompt those undertaking work to STOP and THINK when the scope of their work changes or during the course of planned work when new safety hazards arise. The same applies to those undertaking experimental work when the experimental results indicate a new experiment or experimental set up this pro forma aims to prompt them to similarly STOP and THINK before proceeding with small changes. Larger changes will require more formal assessment. Many injuries and incidents occur when work or experiments for which the risks have been assessed and planned changes and those working plough on without pausing to STOP and THINK. The pro forma is designed to help YOU think through the relevant issues when faced with changes or additions to planned work or experiments, or when carrying out quick tasks - a series of prompts for the common safety hazards. The form should ONLY be used in the following circumstances:

To make specific a generic risk assessment.

The task is simple and the risks are not high. Significant (high) risks from simple tasks that are carried out on a regular basis must be assessed fully in a documented assessment.

To manage changing risks within a larger job i.e. the bulk of the job may be covered by a documented risk assessment (which defines the various stages of the job), but if the need to do something differently arises, this method can be used to assess the risk.

To help manage minor changes arising during experimentation. Completed On the job Risk Assessments should normally be kept in hard copy form for two weeks, should there be a need to assess it in the event of an incident. Where the On the job Risk Assessments are undertaken as part of a larger job or experimental build it is appropriate to store it for the duration of that larger job.

P Denotes that a permit system is used to control most works with these hazards, and a permit may be needed for the work being undertaken. F Denotes that a full documented assessment and safe system of work is usually required for work with this hazard. This form is insufficient to assess all the risk involved when working with these hazards, but should be used to assess the likely impact of that hazard on your work when you are not working directly with it. For example, the form can be used to assess handling tasks in a Supervised radiation area, but it cannot be used to assess handling radioactive sources for which a full risk assessment is required.



APPENDIX 2B STANDARD QUALITATIVE RISK ASSESSMENT TEMPLATE

Ref: Description:

Assessment Date: Location/Site:

Assessor: Department:

Assessment Team:: Persons Exposed:

Activity/Task:

Step 1 What are the hazards?

Step 2 Who might be harmed and how?

What are you already doing? Step 3: What further action is necessary?

Step 4: How will you put the Assessment into action?

____________________________ _________________________________________ _____________________________________________ ____________________________________ _________________________________________

Hazard/Task or Situation

Action by whom

By when Done

Step 5 Review Date: Review your assessment to make sure you are still improving, or at least not sliding back. If there is a significant change in your workplace, remember to check your risk assessment and where necessary, amend it.



APPENDIX 2C QUANTITATIVE RISK ASSESSMENT TEMPLATE

Ref: Description:

Assessment Date: Location/Site:

Assessor: Department:

Assessment Team:: Persons Exposed:

Activity/Task:

Step 1 What are the hazards?

Step 2 Who might be harmed and how?

What are you already doing?

What is the level of risk?

Step 3: What further action is necessary?

Step 4: How will you put the Assessment into action?

Hazard/Task or Situation

H Harm

L Likelihood

R Risk

Action by whom

By when Done

Step 5 Review Date: Review your assessment to make sure you are still improving, or at least not sliding back. If there is a significant change in your workplace, remember to check your risk assessment and where necessary, amend it.



APPENDIX 3: STFC - Line Manager/Supervisor Risk Assessment (RA) Check list

This check list is designed to help line managers and supervisors assess their RAs to ensure they are suitable and sufficient and meeting the STFC standards for RAs.

RA Ref. RA Assessor:

RA Title:

Checklist Yes No N/A

General

Has the activity or task being assessed been explicitly described? (It is important to indicate exactly what is being assessed because this puts the risk in context).

Have all those with relevant knowledge and experience been involved in the undertaking the assessment? (Has specialist advice been obtained e.g. Radiation hazards RPA or RPS, RWA; Biological BSO)

Activity

Have all significant hazards, including those with existing controls, been identified? (Where significant hazards are those with the actual or potential cause of: serious harm to the individual or the environment; or harm, the severity of which depends on the extent and frequency of exposure to the hazard; or harm that does not usually occur, or

is not usually detectable until a significant time after exposure to the hazard).

Are the hazards identified relevant to the activity? (Are trivial hazards included unnecessarily)

People

Have the persons at risk been identified? (All individuals or groups who are exposed to the hazards should be included, even those not directly related to the activity. They may need a separate line in the assessment if different groups are subject to different control measures).

Has it been noted how persons are at risk? (The how people are at risk is needed to put the control measures in context, and show that they are sufficient).

Are all persons undertaking activity competent? (If it is not clear who is doing the work it may be generic then the required training, skills and knowledge to perform the work safely should be indicated).

Controls

Are existing controls suitable are the risks as low as reasonably practicable?

Are the controls proportionate to the risk?

Have engineered controls been considered before people controls?

Is the use of PPE a last resort?

Is the level of residual risk acceptable in your opinion?

Environment

Has RA considered how waste arising from a task or activity will be managed - considering how it can be re-used; recycled or disposed?

Has use of raw materials: chemicals; equipment; or utilities (gas, water, electricity) been considered and their use minimised?



Specific Issues raised by the check list to be addressed: 1

2

3

4

5



APPENDIX 4: HAZOP/HAZAN ASSESSMENTS

Historically associated with the process industry Hazard and Operability (HAZOP), Hazard Identification (HAZID) and Hazard Analysis (HAZAN) should be applied to some major projects within STFC such as the design of major facilities or even large beam lines or experimental facilities. These techniques provide a structured and systematic method of assessing current or planned processes or operations to identify and evaluate potential SHE hazards thereby informing design and operation. The question of which projects would benefit from such assessments is not clear cut but if there is a significant risk of a catastrophic failure which could result in a fatality, severe damage to STFC estate or result in an environmental release which would cause a breach of an environmental permit then such an assessment may be beneficial. In addition a seemingly small change to a larger system, which may originally have been the subject of a HAZOP, may also warrant a further HAZOP. At the other end of the scale single beamlines which do not involve complex process infrastructure would not normally need such an assessment. As these assessments are undertaken infrequently within STFC it is likely that external help may required at least to facilitate the assessment, if not to lead it. If you are unsure about the need for such an assessment or would like advice on getting external support you should contact your local SHE group. Useful reading: HAZOP and HAZAN, Trevor Kletz, IChemE, ISBN 0 85295 421 2 HAZOP: Guide to Best Practice, Brian J Tyler, IChemE, ISBN 0 85295 525 1 Practical HAZOPs, Trips and Alarms, D MacDonald, Elsevier, ISBN 0 75066 274 3



APPENDIX 5: TRAINING REQUIREMENTS

Role Initial Training Refresher Frequency Comments

Staff Information to staff at Induction.

Open communication sessions at launch of this code.

Regular awareness campaigns.

5 years or sooner if actual incident statistics or active monitoring indicate issues.

OTJ risk assessment training from manager using SHE Group PowerPoint presentation.

Contractors N/A N/A N/A Contractors must provide STFC with risk assessment and method statements relating to work carried out for STFC.

Line Managers / Supervisors

day STFC Risk Management course including Mental and On the Job (OTJ) RA and use of the STFC Risk Management database.

Day 5 Years

Risk Assessment is also covered by the following mandatory general safety courses for managers:

1 day Safety Management for Non Technical Managers

4 day - Managing Safely



APPENDIX 6: AUDIT CHECKLIST

Ref. Item Rating Comments

1

(Section 4.1.1)

(Section 4.2.1)

Have risk assessments been conducted for all activities with the potential for injury, harm to health or damage to the environment?

2

(Section 4.1.1)

Are risk assessments documented in SHE Enterprise?

3

(Section 4.2.2)

Have actions arising from risk assessments been implemented to plan?

4

(Appendix 5)

Have all supervisors/managers been trained in risk assessment techniques and the STFC Risk Assessment database? Has refresher training been undertaken?

5

(Section 4.2.4)

Have all risk assessments been reviewed at least on a 2 yearly basis?

6 Have Business Unit Managers/Directors conducted an annual review of the state of risk assessment in their area of responsibility?


generalidades sc06

Documents

job risk assessment

sufficient risk assessment

residual risk

stfc risk management

work regulations

use regulations

issue date

issue number