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Note - This document may have been superseded by a more recent version.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.
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
Issue Number: 2.2
Issue Date: 21/02/2014
Author: Matthew Dickson
Page 2 of 18
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
Issue Number: 2.2
Page 3 of 18
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.
Issue Number: 2.2
Page 4 of 18
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.
Issue Number: 2.2
Page 5 of 18
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 proforma 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.
Issue Number: 2.2
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.
Page 6 of 18
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
o
o
Changes to workplace procedures, activities or equipment; or

Changes to guidance and legislation; or
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
Issue Number: 2.2
Page 7 of 18
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.
Issue Number: 2.2
Page 8 of 18
APPENDIX 1:
RISK ASSESSMENT TRAINING GUIDE
(click here to see attached document)
Issue Number: 2.2
Page 9 of 18
APPENDIX 2A: ON THE JOB RISK ASSESSMENT- IDENTIFY HAZARDS & EVALUATE THE RISK
Date:
Task:
Related Risk Assessments:
Building/Area:
Name:
Physical injury hazards
Likelihood*
Severity*
Risk***
Action to be taken
Likelihood*
Severity*
Risk***
Action to be taken
Likelihood*
Severity*
Risk***
Action to be taken
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)
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:
Issue Number: 2.2
Page 10 of 18
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.
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.
Issue Number: 2.2
Page 11 of 18
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
What are you already doing?
Who might be harmed
and how?
Step 3:
What further action is necessary?
_________________________________________
_____________________________________________
____________________________________
Step 4:
How will you put the Assessment into
action?
_________________________________________
Action by
whom
Hazard/Task or Situation
Step 5 Review Date:
Issue Number: 2.2
By when
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.
Page 12 of 18
Done
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 What are you already What is the level of risk?
and how?
doing?
H
Harm
Hazard/Task or Situation
Step 5 Review Date:

Issue Number: 2.2
Likelihood
Step 3:
What further
necessary?
action
Step 4:
is How will you put the Assessment into
action?
Action by
whom
Risk
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.
Page 13 of 18
By when
Done
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
General
Has the activity or task being assessed been explicitly described?
Have all those with relevant knowledge and experience been involved
in the undertaking the assessment? (Has specialist advice been obtained e.g.
(It is
important to indicate exactly what is being assessed because this puts the risk in context).
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?
Issue Number: 2.2
Page 14 of 18
No
N/A
Specific Issues raised by the check list to be addressed:

1
2
3
4
5
Issue Number: 2.2
Page 15 of 18
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
Issue Number: 2.2
Page 16 of 18
APPENDIX 5: TRAINING REQUIREMENTS

Role
Staff
Initial Training
Information to staff at
Induction.
Open communication
sessions at launch of
this code.
Refresher
Frequency
Regular
awareness
campaigns.
5 years or
sooner if
actual
incident
statistics or
active
monitoring
indicate
issues.
Comments
OTJ risk assessment

training from manager
using SHE Group
PowerPoint
presentation.
Contractors
N/A
N/A
N/A
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
Contractors must provide

STFC with risk assessment
and method statements
relating to work carried out for
STFC.
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
Issue Number: 2.2
Page 17 of 18
APPENDIX 6: AUDIT CHECKLIST

Ref.
Item
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?
Have Business Unit

Managers/Directors conducted an
annual review of the state of risk
assessment in their area of
responsibility?
Issue Number: 2.2
Rating
Comments
Page 18 of 18

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RISK

Rev. 2.2, Issued on February 2014

Added Quantitative Risk Assessment

Following audit of RA code, code updated to

Amendments to training and audit pages

Minor change to Line Manager training

Issue Number: 2.2

Issue Date: 21/02/2014

Author: Matthew Dickson

STFC RISK MANAGEMENT

Issue Number: 2.2

Issue Date: 21/02/2014

Author: Matthew Dickson

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

Issue Number: 2.2

Issue Date: 21/02/2014

Author: Matthew Dickson

3.1 Hazard, Risk and Significant.

Issue Number: 2.2

Issue Date: 21/02/2014

Author: Matthew Dickson

Suitable and Sufficient Risk Assessment

Low - Mental Risk Assessment the

Medium - On The Job (OTJ) Risk

High - Documented Risk Assessment

Issue Number: 2.2

Issue Date: 21/02/2014

USE By an individual for very

USE For risk assessment of

USE For complex tasks, and

Author: Matthew Dickson

Suitable and Sufficient risk assessments are those that:

Department Director shall:

Ensure that sufficient resource is made available to implement risk control

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

Line Managers/Supervisors shall:

Ensure that as appropriate, actions arising from risk assessments to

Changes to workplace procedures, activities or equipment; or

As a minimum all documented risk assessments should be reviewed every

Issue Date: 21/02/2014

Author: Matthew Dickson

effectively. The Line Managers check list in Appendix 3 can be used as a

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

Staff/ Facility users/ Tenants/ Visitors shall:

Ensure they understand the health, safety and environmental risks

Employ the On the job (OTJ) risk assessment process to manage

Implement the control measures established by risk assessment whether it

Safety, Health & Environment (SHE) Group shall:

Maintain electronic storage systems to provide:

a secure database of risk assessments, and management of actions

Issue Number: 2.2

Issue Date: 21/02/2014

Author: Matthew Dickson

RISK ASSESSMENT TRAINING GUIDE

(click here to see attached document)

Issue Number: 2.2

Issue Date: 21/02/2014

Author: Matthew Dickson

Main risks identified, and control measures required:

Issue Number: 2.2

Issue Date: 21/02/2014

Author: Matthew Dickson

To make specific a generic risk assessment.

Issue Number: 2.2