Code of Practice

General Health & Safety

Risk Assessment

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Issue 1, Dec 2003

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SWINDON BOROUGH COUNCIL

CODE OF PRACTICE
Planning and Managing Safe Work Activities
Through General Risk Assessment

Policy Statement of Intent

It is the policy of Swindon Borough Council to ensure as far as is reasonably practicable
the identification, assessment and the control of significant personal safety and health
risks associated with all work activities. This responsibility must be discharged primarily at
the line management/ operational level.

In accordance with the Borough Councils Statement of Policy on Health and Safety at
Work, Directors are responsible for applying the Councils Health and Safety Policy within
their respective Service Areas through appropriate arrangements to be detailed within their
health and safety policies.

Simon Birch
Chief Executive

Ref; COP GRA

Ian Dobie
Deputy Leader of the Council

Issue 1, Dec 2003

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Table of Contents
1

Introduction

Definition of Terms

Responsibilities

Flow Diagram/Procedure

Training

Advice, Assistance and Information

Appendices
7.1

Risk Assessment Form; Blank form

7.2

Safe System of Work; Blank form

7.3

Checklist for Risk Assessment & Safe System of Work

7.4

Risk estimator matrix

7.5

Worked example

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Introduction

1.1

Risk Assessment is central to planning and managing the safe activities of staff or
other persons affected by the Councils work.

1.2

The following procedure should be used to coordinate your risk assessment efforts
generally. For each activity there are likely to be several dangers or hazards.
Generally these hazards, for example lone working, can be dealt with on the
general risk assessment form (appendix 7.1) but sometimes a Specific Risk
assessment (using a different form) needs to be completed e.g. for chemicals which
should then be linked to the general form.

1.3

Once integrated into Management practice the tool of risk assessment can be an
effective way of ;

Giving the right safety information and instruction to your staff (e.g. Safe
System of work)

Eliminating poor practice

Identifying staff Health and Safety Training Needs

Identifying certain personal needs e.g. in relation to disabilities

Identifying facility requirements

Planning work place inspections.

Purchasing new equipment

The following Code of Practice defines the basic procedure to follow and
excludes detailed guidance (see section 6 for further information and
guidance on risk assessment).

Definition of Terms
General Risk Assessment - An overarching technique used to manage health &
safety risks generally.
Specific Risk Assessment - A technique for certain risks which need a special or
specific approach e.g. chemicals, computers, manual handling, noise etc.
(covered by other Codes of Practice)
Hazard

- Something that could cause harm e.g. a slippery floor

Risk

- The likelihood that a particular hazard will actually cause harm.

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Responsibilities

3.1

Corporate Responsibility

1 Establish a Risk assessment management group for advising, monitoring

and reviewing the risk assessment process across the Authority.
2 Maintain a Register of risk assessments to aid managers in completing risk
assessments.
3 Provide Training courses for those completing risk assessment.

3.2

Directorate level Responsibility

4 Provide expert advice to managers through Service Area Health and Safety
Advisors (as well as Occupational Health).
5 Co-ordinate and Monitor the completion of risk assessments to ensure the
necessary risk assessments are in place.

3.3

Line Managers Responsibility

6 Establish local risk assessment team to include at least one Swindon

Borough Council trained competent risk assessor, and relevant employee
representation. Use Service Area Health and Safety Advisor for
specialist advice.
7 Identify risk assessment training needs. At least one nominated member of
the risk assessment team (preferably the Manager) will need to complete
risk assessment training.
8 - Identifying Work Activities of staff.
9 Carry out a risk assessment for each activity involving significant risk.
10 - Control the Risks to as low a level as is reasonable in the circumstances.
11 Provide Information and Instruction to Staff. i.e. provide the Safe System
of Work (SSoW).
12 - Monitor the Controls to ensure they remain effective. e.g. using checklists
13 - Review the Risk Assessment at appropriate intervals.
14 - Record the Assessment.

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Flow Diagram/Procedure
OVERVIEW OF GENERAL RISK ASSESSMENT PROCEDURE

4.1

The following procedure should be used as an overview to the process of

Identifying and controlling risks through risk assessment.

Make a list of Work Activities

involving significant risk

Collect information relating to each activity

Yes

Does a Risk assessment and Safe System of Work

(SSoW) already exist? Check the register on the
Health & Safety Intranet site!

No

Complete a new Risk

Assessment and SSoW
for each activity

Adapt them to suit

your needs

Action additional control measures (and document)

Inform, instruct, supervise and train staff

Monitor effectiveness of controls e.g. by inspections.

Set an appropriate review date. Usually annually or if the situation changes significantly

Integrate into day-to-day activities.

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Training

5.1

Training to support the risk assessment process is available from the Drove
Centre and attendance is strongly recommended prior to completing Risk
Assessments. This training is free of charge and runs on a regular basis. Contact
the Drove Centre for details.

5.2

Further practical training may be available from your health and safety advisor in
support of the risk assessment process.

5.3

Training for staff at risk The Safe System of Work (SSoW) should define the
procedure that staff must follow to remain safe. Their training should therefore be
based on SSoW and can be carried out on site in team meetings etc by the
manager or colleague.

5.4

It is important to keep records of all training carried out. Staff signing SSoW to
acknowledge understanding is also encouraged as best practice.

Advice and further information

6.1

Further advice, information and guidance to support this procedure can be obtained
from a number of sources including;

Your Health and Safety Adviser

The Boroughs Intranet site (see Health and Safety link from front page)

The Internet including the official Health and Safety Executive website
http://www.hse.gov.uk/.

Training notes from risk assessment course.

A range of documents including, HSE guidance, Approved Codes of

Practice, legislation, product information, British Standards, industry specific
guidance etc available direct or through your Health & Safety Adviser.

Ref; COP GRA

Issue 1, Dec 2003

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Health & Safety Risk Assessment

Appendix7.1

In accordance with: Management of Health & Safety at Work Regulations 1999

Directorate:
ACTIVITY:
PERSONS AT
RISK

Date of original
Assessment:

Section:
SCOPE:
HAZARD IDENTIFIED

Date of this
Assessment:

Overall Risk Rating (H, M L):

Ref; COP GRA

WHAT COULD
GO WRONG?

Issue 1, Dec 2003

Location:
RISK
BEFORE
(H/M/L)

CONTROLS REQUIRED
e.g. eliminate, reduce, isolate, training, instruction,
equipment, PPE, SSoW etc

Review
Date:

Reference
No:

RISK
AFTER
(H/M/L)

ACTION
Date &
Resp..

Name of Assessors:

Managers signature:
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Appendix7.2
Safe System of Work
In accordance with: Management of Health & Safety at Work Regulations 1999
Task/Activity (Scope):
Risk Rating:

Department/ Section:

Location:

Ref No:

Activity carried out by;

Determine Procedure Below

Can Safe System of Work be met (Y/N) if NO determine Local Controls Below

I have read this Safe Working Procedure and associated Risk Assessment and where necessary
recorded any local variations from the Standard Conditions or Safe System of Work.

Signed:

9Ref; COP GRA

Name:

Date; Dec 2003

Date:

Issue number.; 1

Checklist for Risk Assessment & Safe System of Work

1.

Appendix7.3

Make a list of Work Activities.

Dont forget to include routine, non-routine, contractors and Visitors Activities, workplace facilities and
Events.

2.

Collect background information relating to the activity

You will need to know:- what the activity involves and the hazards, who is exposed, how often, for how
long, history of problems, previous risk assessments, correspondence, accident reports, staff views etc.

3. Check the Register

Check your activities against a register of generic risk assessments and Safe Systems of Work already
completed. Visit the health and safety intranet site or contact your Health and Safety Advisor. If available
these can be adapted to your own needs saving considerable time!

4.

Complete the details on the top of the Risk assessment form e.g. the section,

location and name of activity covered by the assessment. Further define the scope of if needed eg the
example at appendix 7.5 state day time only.

5.

In the PERSONS AT RISK column

State who might be at risk.: This includes Staff, managers, members of the public, pupils etc. Remember
that within any given group there may be specific needs to be addressed, age, pregnancy, disability and
State of health (e.g. asthma and associated conditions).

6.

In the HAZARD column

List the significant hazards that relate to the activity identified and record each on a new line. Some
hazards e.g. Display Screen Equipment demand a Specific Risk assessment. Refer to other Codes of
Practice for the correct procedure. Make sure you make a link to the specific assessment on your general
risk assessment form. Contact your Health & Safety Adviser if unsure. Some examples include;

Manual Handling

Falling from height

Working from Home

Strike Against something

Slips, Trips,

Objects Falling

Electrical

Shock Burns/Scalds

Fire Explosion

Noise

Vibration

Display Screen Equipment

Cuts/Abrasions

Confined Spaces

Insufficient First aid

Use of Hand Tools

Extreme Temp

Vehicles (RTA)

Vehicle (Non RTA)

Use of Work Equipment

Ergonomics

Lone Working

Violence/ aggression

Occupying building generally

Stress

Biological agents

Needlestick

Falling into Water

Legionella

Hazardous Substances

7.

Exposure to the Suns rays

In the WHAT COULD GO WRONG? column

State what could happen should things go wrong e.g. struck by vehicle, fractured limb etc.

10
Ref; COP GRA

Date; Dec 2003

Issue number.; 1

8.

In the RISK BEFORE column

State what the risk would be (ie High, Medium, Low) without any control measures in place. Use the Risk
estimator Matrix at Appendix 7.4 and a guide. You will need to estimate the severity of harm that may
arise and the likelihood it will actually occur. Where these intersect on the matrix determines the level of
risk.

9.

In the CONTROLS REQUIRED column

Detail what needs to be done to Control the risk. If you obtained a risk assessment from the Register
then there may be measures listed that you are not currently doing or that you do not require. Your
Health & Safety adviser may be able to advise here. Key control measures include. Safe system of work
Procedure for at risk staff to follow, Information Instruction and training, Personal Protective Equipment
etc
The following provides a hierarchy of controls you should apply.
1.First try to eliminate the activity or some of the hazards associated with it.
2.Reduce the size of the hazards e.g. do it less often or use smaller amounts!
3.Try to control the risk at source e.g. it is better to prevent a dusty environment in the first place than to
provide all workers with a dust mask.
4. When deciding controls try to avoid reliance on people. Human error & deliberate violations are
commonplace!
5. Provide appropriate Personal Protective Equipment (PPE) if still needed after carrying out the above.
Use of PPE should always be a last resort.
Remember that you have a duty to reduce risk to as low as is reasonably practicable.

10.

In the RISK AFTER column

State the fully controlled risk (i.e. High, Medium, Low). Again use the Risk estimator Matrix at Appendix
7.4. You should be able to demonstrate a drop in the risk!

11.

In the ACTION DATE column

Allocate responsibilities and set target dates for control measures you need but currently dont have.
Remember the higher the risk the quicker action needs to be taken. The law requires this to be done as
soon as is reasonably practicable and you should use this as a guide. Link these responsibilities to
normal management planning activities including Staff Appraisal Key objectives, monitoring etc

12.

Date, sign and set future review date the assessment

Coincide the review with a change in the activity. Otherwise a one or two year interval is generally
appropriate.

13.

Determine the overall Risk Rating for the activity

This should usually be set at the highest risk identified in the RISK AFTER column.

11
Ref; COP GRA

Date; Dec 2003

Issue number.; 1

Appendix 7.4

RISK ESTIMATOR MATRIX

Simply follow the Steps 1, 2 and 3 to calculate your Risk! If you are having
difficulty deciding see the definitions below or contact your Health and
Safety Adviser.

Likelihood of occurrence

1. Decide the Level

of harm e.g. Harmful

2. Decide the
Likelihood that
harm could occur
e.g. unlikely

Level of Harm
Slightly Harmful
Harmful

Extremely Harmful

Highly
Unlikely

LOW RISK

LOW RISK

MEDIUM RISK

Unlikely

LOW RISK

MEDIUM RISK

HIGH RISK

Likely

MEDIUM RISK

HIGH RISK

HIGH RISK

3. Where your choices

Definitions to support selections
1.

Level of Harm

Slightly
Harmful
Harmful
Extremely
Harmful

2.

meet gives the Risk. In

this example its Medium!

Injury or illness fairly minor. Likely to lead to no or less than a day of lost time
Those injuries or diseases classified as notifiable by RIDDOR. Potential for hospital
attendance. Recoverable or treatable illness or injury
Multiple fatalities. Single Death or terminal illness of person involved.

Likelihood

Highly
Unlikely

Highly unlikely to occur in foreseeable future, though possible. Very low or infrequent
exposure.

Unlikely

Could or does occur occasionally. Exposure is significant.

Likely

Occurs repeatedly on a regular basis or exceeds set limits

3.

Resulting Risk Level

LOW RISK
MEDIUM
RISK

HIGH RISK

No or little further action needed. Current control measures are satisfactory. Review
date can be extended.
A significant risk still exists. Any control measures not yet in place need to be
implemented at the next opportunity. A training need exists and a Safe Working
Procedure should be drawn up and issued to staff. Regular monitoring and review
should be carried out to ensure controls remain effective.
Stop the work or ensure interim action is taken immediately to reduce risk rating. The
use of considerable resources is justified in reducing the risk in the longer term.
Contact your Health and Safety Adviser for advice.

12
Ref; COP GRA

Date; Dec 2003

Issue number.; 1

(EXAMPLE)Appendix 7.5

RISK ASSESSMENT (Health & Safety)

Health & Safety Risk Assessment

In accordance with: Management of Health & Safety at Work Regulations 1999
Directorate: SWINDON DIRECTORATE
ACTIVITY: HOME VISIT TO CLIENT
PERSONS AT
RISK

Officers

HAZARD
IDENTIFIED

LONE
WORKING

Section: CLIENT SERVICES

SCOPE: DAY TIME ONLY

WHAT COULD GO
WRONG?

RISK
BEFORE
(H/M/L)

No one to help if
receive an injury
or threatened
H

Officers

Officers

Officers

13
Ref; COP GRA

VIOLENCE &
AGGRESSION
NEEDLESTICK

MANUAL
HANDLING

Aggression from
client or MOP en
route to home

Hepatitis B
HIV
Tetanus

Lower back pain

from lifting

Date; Dec 2003

Issue number.; 1

Location: VARIOUS

CONTROLS REQUIRED
e.g. eliminate, reduce, isolate, training, instruction,
equipment, PPE, SSoW etc

SBC Code of Practice on Lone working

examined
Safe Working Procedure is now in place,
which includes use of a sign out board,
requiring arrival and departure times for
household visits.
Training received as part of induction
Accident and emergency procedures known
to all staff
Mobile phones to officers
Safe system of work written and circulated
to all staff (see attached)
Awareness of this issue by staff concerned.
Induction training to cover
Book officers to attend Infection Control
course at Drove training centre
Safe System of Work covers correct
procedure to follow
Staff instructed not to lift clients belongings
which are significant in weight

RISK
AFTER
(H/M/L)

ACTION
Date &
Resp..

AM by
July 03

AM by
July 03

AM by
July 03

Officers

Officers

SLIPS & TRIPS Cuts, grazes,

strained muscles
from slip or trip in
clients home

Death, serious
burns from faults
household
equipment

ELECTRIC
SHOCK

Date of original
Assessment: 12.6.2002

Date of this
Assessment:

Overall Risk Rating (H, M L):

14
Ref; COP GRA

Date; Dec 2003

1.6.2003

Review
Date:

Officers to wear suitable low heel footwear.

Heightened awareness
Slips & trips covered by induction training
Staff to be reminded to take extra care over
slip trip hazards in the clients home at next
team brief
Staff have awareness of electrical hazards
and to visually inspect any appliance prior to
touching.
RCDs to be issued to all staff for use with
clients own personal equipment.

Reference
Name of
Assessors:
No:
3A
Managers Name & signature: Mr A. Manager

Issue number.; 1

1.6.2004

AM by
July 03
None
M

Mr Safety Rep
Ms Technical Person

Safe System of Work

In accordance with: Management of Health & Safety at Work Regulations 1999
Task/Activity (scope):
Risk Rating:

HOME VISIT TO CLIENT (day time)

Department/ Section:
SD/ CLIENT SERVICES

Location:
VARIOUS

MEDIUM

Ref No:

3A

Activity carried out by;

OFFICERS

Determine Procedure Below

Prior to carrying out a visit

Ensure the register is checked to see if the client has a history of violence/
behaviour problems.
Enter you details on the Out of office board. Ensuring expected departure
time and full address is entered.
Ensure you have received the necessary training for this task and that you
are aware of the risk assessment carried out for this activity.
Ensure you are wearing appropriate footwear to prevent slips or trips.
During the visit itself
Be on the lookout for discarded needles, slip or trip hazards.
Ensure route out of the dwelling is clear and accessible
Always visually inspect electrical items prior to touching as these may be in a
poor condition.
Do not lift any heavy or awkward items belonging to the client even if
requested to do so.
When a conflict situation arises remain calm and do not antagonise client.
Withdraw from premises before situation escalates to violent / aggressive
confrontation.
Do not handle client belongings e.g. clothing unless absolutely necessary as
there may be discarded needles or other hazardous objects among them.

EXAMPLE

After the visit.

Report back to office. Sign off on Out of office board.
Emergency Procedure
Use mobile phone to contact emergency services.
Remain calm and non aggressive
Can Safe System of Work be met (Y/N) if NO determine Local Controls Below

Yes procedure should be followed

I have read this Safe Working Procedure and associated Risk Assessment and where necessary
recorded any local variations from the Standard Conditions or Safe System of Work.

Signed:

Ref; COP GRA

Name: Mrs V. Safe (Officer

doing home visits)

Date; June 2003

Date: 1 June 2003

Issue number.; 1