Introduction
Regulation 3 of the Management of Health and Safety at Work Regulations 1999 (Management Regulations) requires that a 'suitable and sufficient' risk assessment is carried out on all activities undertaken at the University. The aim of the assessment is to identify the hazards of the activity, determine the risks and take steps to minimise those risks for employees and others who may be affected by the activities. For employers with five or more employees, where significant risks are identified, they must be recorded in writing along with the steps taken to minimise those risk(s).
Where risk assessments are required by specific regulations such as the Health and Safety (Display Screen Equipment) Regulations, Control of Substances Hazardous to Health Regulations (COSHH), Manual Handling Operations Regulations, and the Control of Noise at Work Regulations, these assessments must be carried out as appropriate. Provided that suitable and sufficient assessments have been carried out under the specific regulations, these will meet the requirement of the Management Regulations.
Definitions
Hazard
A hazard is anything with the potential to cause harm. Examples include: handling chemicals has the potential for spillages and accidental exposure, perhaps causing burns to the skin or damage to the lungs; working on a roof has the potential for falls from height or dropped tools, perhaps causing death or serious fractures.
Risk
Risk is the chance (likelihood) that a hazard will actually cause harm together with an indication of how serious that harm could be (the severity or impact of the harm if it is realised).
- Categories of risk can be high, medium or low
- Ideally all risks are low if the right methods and precautions are in place and followed
- If risks are categorised as medium or high, then different or additional control measures must be considered before the work is commenced or continued
- When calculating a numerical risk rating, likelihood scores are multiplied by severity/impact scores to provide a risk rating.
Risk assessment
A risk assessment identifies all the health and safety hazards of a work activity and judges the associated risks if the work is carried out with the planned precautions. If the risks are unacceptably high, the assessment also identifies additional steps that need to be taken, when and by whom, to reduce the risks further before the activity continues.
Risk assessments must consider:
- academic and support activities
- work carried out by staff, students, visitors and contractors
- equipment currently in use and any equipment hired or purchased for use in the future
- materials and substances used within the University
- the working environment
- the range of people potentially exposed to the risk of harm
The following types of activity must be considered, but the list is not exclusive or exhaustive:
- Display screen equipment
- Manual handling
- Lone working
- Hazardous substances
- Machinery and equipment
- Fieldwork and other off-campus activities
- Other types of activity, for example involving noise, ionising radiation, asbestos
Suitable and sufficient risk assessment
Risk assessments must be 'suitable and sufficient'. This means they will:
- identify all the hazards associated with the activity
- include what is reasonably foreseeable
- be proportionate to the risks and the nature and duration of the work
- take account of legislation, guidance and industry good practice
- evaluate the extent of the associated risks, taking account of existing or planned precautions and their effectiveness
- identify additional precautions if necessary with timescales and responsibility for their implementation
- be kept up to date
The assessment enables informed planning and decisions on what is needed for the work, including:
- resources: materials, equipment, facilities, skilled staff, support, supervision
- equipment, including necessary testing and maintenance
- knowledge, skills, experience for those carrying out the work
- additional training if necessary
- personal protective clothing and equipment
- emergency arrangements
- funding and adequate time allocation
Arrangements for Risk Assessments
Faculties and Directorates carry out risk assessments for all their teaching, research and support activities. Assessments are included in their planning processes and in decisions on resources. Assessments take account of legal requirements and University Codes of Practice on relevant topics and are used to draw up Faculty/Directorate-specific local codes of practice setting out the control measures to be followed for the activity. They are reviewed and revised as necessary to ensure they are kept up the date.
In general, risk assessments are carried out by the manager or supervisor who has day to day responsibility for the activity. However, in order to make fully-informed judgements and decisions on hazards, risks and precautions it is recommended that information and advice is sought from the Health & Safety Local Officer and from those carrying out the activity.
Draft assessments and local codes are considered by Faculty/Directorate health and safety consultative groups which include representatives of all staff and student groups and trades union H&S representatives.
Draft assessments are approved by the appropriate level of manager taking responsibility for the activity and ensuring it will be carried out in accordance with the assessment and local code of practice. This may be the Pro-Vice Chancellor/Faculty Operating Officer/Director of Professional Service, Head of Department or Manager/Supervisor for the activity.
Documentation
Pro forma risk assessment forms are available on the University Health and Safety pages for downloading and completion. These forms are used to record brief details of the task assessed, the significant hazards and persons at risk from those hazards, existing control measures, residual risks and further control measures together with designated persons and timescales for completion where possible. Details on their completion are given in the Code of Practice and associated Guidance and Forms for the relevant topic.
Review
Assessments will be reviewed at least annually for continuing activities. Where there are significant changes, for example to materials, frequency, facilities, where problems are noted, where an incident/accident/near miss occurs or there is a change in relevant legislation, the assessment will be reviewed sooner. Where work is restarted after an extended period, the assessment will be reviewed at the planning stage. Assessments will also be reviewed where new information indicates changes to hazards or risks, or where technological changes have made improvements possible.
Revision
Assessments will be revised where new details need to be annotated, where changes affect hazards and risk, where existing precautions are no longer adequate, where necessary improvements are recommended or where review suggests revision is required. Changes will be incorporated into the written record and into any local Codes of Practice derived from the assessments. Revised codes of practice will be disseminated to relevant staff, students and others as necessary.
Records retention
Risk assessments and associated local codes of practice will be retained by Faculties and Directorates in accordance with the University's records retention schedules.
Auditing
The University's arrangements for monitoring of health and safety management in Faculties and Directorates will include periodic sampling of completed risk assessments.
Responsibilities with respect to risk assessment
Faculty Operating Officers/Directors of Professional Services are responsible for ensuring that:
- suitable and sufficient risk assessments are carried out and kept up to date for all Faculty/Directorate activities.
- Local Codes of Practice setting out the arrangements and precautions for the work are derived from the risk assessments and are disseminated, reviewed and revised as necessary.
- assessments are reviewed for pregnant women, children and young persons
- staff are referred to the University Occupational Health and Welfare Service or University Health & Safety Unit where there are concerns regarding adverse health or medical effects associated with their work.
- students are referred to Student Services where there are concerns regarding adverse health or medical effects associated with their studies.
- risk assessments for higher risk activities are brought to the attention of their Pro-Vice Chancellor.
Heads of Department are responsible for ensuring that:
- health and safety risks are assessed before new work/protocols are introduced;
- identified precautions are costed, implemented and regularly reviewed (in liaison with the Health & Safety Local Officer(s));
- induction of new staff includes necessary health and safety information.
Project Leaders are responsible for:
- assessing risks to health and safety and the precautions required before applying for research grants or adopting an experimental protocol;
- ensuring that necessary protective equipment and safe procedures are included in funding applications and protocols;
- reviewing the adequacy of precautions when significant changes occur in the project or following an incident/accident/near miss;
- working with project supervisors to ensure that safe procedures identified in protocols and local and University codes of practice are followed by staff and students on the project
Research staff are responsible for:
- drawing up/review risk assessments for own research
- consulting with management, Health & Safety Local Officers (HSLOs) and technical staff in good time
- including H&S provisions in resource/funding bids
Research Supervisors are responsible for:
- advising on postgraduates' own risk assessments and protocols for their project
- scrutinising and approving risk assessments and protocols before project work starts
- considering risk assessments and protocols in project reviews and markings
Teaching staff are responsible for:
- drawing up/reviewing risk assessments and protocols for class practicals in consultation with the technicians
- explaining to students the risk assessment process as the basis for precautions in protocols
- drawing up/reviewing reference risk assessments for undergraduate final-year projects
- advising and assisting students with their own project risk assessments and protocols
- scrutinising and approving risk assessments and protocols before project work starts
- considering risk assessments and protocols in project marking
Postgraduate students are responsible for:
- drawing up their own risk assessments and protocols for their project, advised by their academic supervisor
- identifying resources required for the project
Undergraduate students should:
- be aware of the risk assessment purpose and process
- be aware of risk assessment as the basis for practical protocols
- draw up their own risk assessment and protocol for their final-year project, advised and assisted by their academic supervisor
Health & Safety Local Officers
Health & Safety Local Officers in Faculties and Directorates co-ordinate and advise on risk assessment of academic, research and support activities, drawing up of local policies or rules and keeping appropriate records.
Display Screen Equipment Assessors
Display Screen Equipment Assessors in Faculties and Directorates carry out DSE assessments for staff as necessary (usually following the staff member's online DSE training and self-assessment), and keep appropriate records. Details are given in the Code of Practice on Display Screen Equipment.
Other Faculty and Directorate staff appointed to carry out risk assessments
Faculty Operating Officers and Directors of Professional Services may also appoint other members of staff with delegated functions with respect to risk assessments. Where these are required or recommended under University Codes of Practice details are given under the topic-specific Code, for example lasers and ionising radiation.
University Health & Safety Unit
- provides Faculties and Directorates with advice and training on carrying out risk assessments.
- carries out periodic sampling of Faculty/Directorate/Unit risk assessments and provides advice and comments for improvements if necessary.
Contractors must:
- assess risks for the contracted work, exchange information with the University on the proposed procedures for the work, and agree with the University any necessary controls to eliminate or reduce shared risks.
- provide information to their own employees, and sub-contractors if any, on the shared risks and the agreed controls for the work.
External users of University facilities
Individuals and groups using University facilities under contractual agreements, for example for conferences or short-term tenancies, are required to carry out risk assessments for their proposed work activities and provide the University on request with risk assessments for their proposed activities.
Last reviewed July 2017