Risk Assessment
IAMC Toolkit
Innovative Approaches for the Sound Management of
Chemicals and Chemical Waste
Introduction
This presentation gives a definition of harm, hazard
and risk. The definitions are followed by a
description of a risk assessment procedure for a
chemical company (description of the system,
definition of safe process conditions, identification
of systematic hazard and hazard assessment by
impact and probability, risk evaluation, establishment
of a planning of measures and assessment of the
residual risk).
The reader will learn how to implement the risk
assessment in the process of innovative options
identification.
1
Hazard Management
1. Risk Identification 2. Transport and 3. Fire and explosion 4. Emergency
and safety storage protection response
1.1 Chemical classification 2.1 Internal transport of 4.1 Emergency response
3.1 Fire protection
and labelling chemicals plan
3.2 Fire protection in
2.2 Internal pedestrian
1.2 Risk assessment welding and cutting
routes
operations
1.3 Safety rules 2.3 Storage 3.3 Explosion protection
1.4 Personal protective
3.4 Container cleaning
equipment
1.5 Skin protection
1.6 Emergency escape
routes
1.7 Solvents, acids, bases
handling
1.8 Safety in gas tank
handling
2
Contents
Concept of Risk Assessment
Risk Assessment
Description of the system
Definition of safe process conditions
Hazard identification
Hazard assessment
Risk evaluation
Measures
Assessment of residual risk
Sources
3
Concept and Objectives of Risk
Assessment
4
Definitions
▪ Harm: “Harm is a negative safety and health consequence
(e.g. injury or ill health).”
▪ Hazard: “A hazard is anything that can cause harm (e.g.
work materials, equipment, work methods and practices.”
▪ Risk: “The risk is the chance of harm being done
(likelihood and extent of harm).”
Definitions from the European Agency for Safety and Health at Work ([Link])
5
Concept of Risk Assessment
What is considered a risk?
A risk is understood to be a hazard which is evaluated in
relation to the probability of occurrence of the undesirable
incident and the severity of the possible effects.“
Threats
- Chemical substances
- Reactions
- Energy sources
- Installations
HAZARD
Disturbances System faults
- Technical failure - Not recognized
- Human error - Insufficient
- External influences preventive measures
- Gradual
development
Source: based on ESCIS
6
Concept of Risk Assessment
▪ Why is a risk analysis conducted?
▪ Obtaining essential information on safety even before technical
processes are implemented
▪ Ensuring the necessary level of safety by implementing targeted
measures against identified risks
▪ When should a risk analysis be undertaken?
▪ For new processes/installations
▪ For existing processes/installations:
If a new hazard has been identified
To incorporate new experiences into the risk assessment procedure
To monitor/improve the safety level
7
What are the stages of a risk assessment?
Description of the system
(basic data: phys., chem., tox., ecolog., Critical areas:
tech.) - Chemicals
- Chemical and physical processes
- Installations, energy sources,
Definition of safe process conditions
infrastructure
- Personnel, manual intervention/errors
Systematic hazard identification - Environment, external influences,
weather
Hazard assessment by impact and
probability
Important:
Risk evaluation
The necessary basic data and safety
information should be available.
Measures: technical, organizational, human
resources
Assessment of residual risk
Is the
Yes
system END
safe?
No
8
Source: based on ESCIS
Risk Assessment Team
▪ Risk assessments should be conducted in teams of at
least two persons to ensure that:
▪ The assessment process benefits from the individual
experiences/viewpoints of each team member
▪ The assessment process and associated decisions have
broader support
▪ The team should include:
▪ Business manager
▪ Operating manager
▪ Design engineer/engineer providing technical support
▪ Specialists in the technical areas concerned
▪ Moderator not involved in the project itself (e.g. safety officer)
9
Risk Assessment – Definition of
the system
10
Description of the System
▪ 1. Subdivide into processes, lines of services or teams
▪ Example 1
Storage Production Packaging Shipping
▪ Example 2
Grinding Heating Boiling Extraction Cooling
11
Description of the System
▪ 2. Identify the critical processes, lines of services and
teams by:
▪ Analyzing statistics (e.g. number of days off due to
professional incidents)
▪ Examining records of risk evaluation/special hazards
▪ Visiting workplaces and conducting interviews with workers to
identify technical or organizational deficits
12
Description of the System
▪ 3. Compile basic data – foundation of risk assessment:
▪ Description of the processes, installations and process conditions
(chemical reactions, etc.)
▪ Safety instructions for important parts of installations
▪ Safety instructions for neighbouring installations
▪ Work instructions for each process/installation (normal operating
conditions, special operating conditions, maintenance)
▪ Properties of raw and auxiliary materials (physical, chemical,
toxicity, flammability, etc.)
▪ Current safety concept
▪ Information on responsibilities and competences
▪ External influences (temperature, climate, etc.)
13
Risk Assessment -
Definition of Safe
Process Conditions
14
Definition of Safe Process Conditions
▪ For the definition of safe process conditions, the following
information should be clarified for each installation and
included in the assessment process:
▪ Different phases (construction, transport, commissioning,
utilization, etc.)
▪ Mode of operation (normal operation, installation, cleaning,
repair, maintenance, etc.)
▪ Limits of the installation (normal operation, cleaning, repair,
maintenance, etc.)
▪ Range of use
▪ Training of users
▪ Environment (e.g. interaction with neighbouring installations)
▪ Dangerous phenomena and their impacts (employees,
installations, environment)
15
Definition of Safe Process Conditions – Example
SUBSTANCE DATA Issues to consider for each
Properties: physical, chemical,
toxicity, eco-toxicity process involving hazardous
INTERACTION substances:
Between substances/materials
REACTION MECHANISM What are the properties of the
Reaction data
Secondary reactions substance?
Thermal stability
What interactions with other
substances and materials should
be considered?
What reaction should we expect?
SAFE CONDITIONS
Process: temperature, The answers to these questions will
pressure, concentration, dosing
sequence, chemical feed rate, lead to the definition of the safe
etc.
process conditions.
Installations: minimum filling
level for stirrers, equipment
material, heating and cooling
capacities, etc.
Source: based on ESCIS
16
Risk Assessment -
Systematic Hazard
Identification
17
Systematic Hazard Identification
Hazard identification methods
Method Example
Intuitive • Brainstorming Critical areas:
“What might happen?” • Checklists - Chemicals
• Failure mode and effect analysis - Processes
• Event tree analysis - Installations
- Energy sources
• Decision table techniques - Manual intervention
• Hazard and operability study - Environment, external
influences, etc.
Deductive • Analysis of potential problems
“How might it happen?” • Operating error analysis
• Fault tree method
Methods in bold are used in the chemical industry
Source: based on ESCIS
18
Systematic Hazard Identification
Checklist welding/cutting (example of questions)
Assessed by: Date: Plant name:
Hazard Yes No Comment
Are workplaces provided with effective ventilation and/or
extraction systems?
Are suitable breathing apparatuses used whenever
contaminants cannot be properly extracted?
Are measures taken to prevent skin burns or eye injuries
due to molten metal splatter, flames and hot parts?
Do welders wear suitable goggles for protection from
the glare of the welding flame as well as from hot
welding sparks?
Are welding operations carried out solely by people
who are familiar with the equipment and processes,
and are they regularly instructed?
19
Systematic Hazard Identification
Event tree analysis
25% Immediate
Fireball
ignition (20 sec)
Undesirable event
18.75% Retarded
Pipe full bore Consequences of the
ignition Torch fire undesirable event
rupture
(minutes)
56.25%
No ignition Dispersion
Source: CSD
20
Systematic Hazard Identification
Fault tree analysis
External 20%
interference
Ground 40%
Undesirable event
movement
Causes of the Pipe full bore
undesirable event rupture
Maintenance 4%
default
Construction 4%
defect
Source: CSD
Source: CSD
21
Risk Assessment – Hazard
Assessment by Impact and
Probability, Risk Evaluation
22
Hazard Assessment by Impact
Effects on:
Impacts
Persons Environment Property
Short-term offensive Minor damage to
Low Minor injury
noise machinery, loss of a batch
Installation damage
Injuries without Discoloration of surface
Medium without prolonged
permanent effects water, unpleasant smell
interruption of operation
Dead fish, defoliation,
Injuries with Loss of an installation , a
High contamination of waste-
permanent effects building
water treatment plant
23
Hazard Assessment by Probability – Example
Probability Technical failure Human error Other influences
• Failure of analytical
• Mix-up of products in similar packaging • Frost
High equipment (pH, redox,
• Misinterpretation of verbal instructions • Rain
O2 probes)
• Failure of:
- On-line measurement • Confusion of products delivered in
data (pressure, drums/bags • Prolonged power cut
Medium
temperature) • Misinterpretation of written working • Transport accident
- Solenoid and regulating instructions
valves
• Confusion of products supplied through
• Failure of:
pipelines • Airplane crash onto
Low - Redundant elements
• Misinterpretation of written working chemical plant
- Fail-safe elements
instructions subject to double checking
Source: based on ESCIS
24
Risk Evaluation
Probability
High Low
Graph representing the
High
relationship between
risk, impact and
probability of occurrence
Risk level:
Impact
High risk
Medium risk
Low risk
Low
Source: based on ESCIS
25
Risk Assessment – Planning of
Measures
26
Planning Measures
“Safety measures should be designed to ensure that a simple human error can not lead to
an incident with a major impact.”
▪ Measures aim at reducing the risk to an acceptable level.
Example
Activity: Synthesis of a solvent-based paint
Danger: Release and spread of flammable solvent vapours
Safety objective: Preventing the ignition of the solvent vapours
which would lead to an explosion or a fire
Measures: Installing an effective chamber system to capture
solvent vapours
27
Planning Measures
▪ Measures for risk reduction should be planned taking into
account the following priorities:
1. Select the process with the lowest risk.
2. Reduce risks by using technical means.
3. Install warning systems.
4. Take organizational and personnel measures.
5. Prepare emergency measures.
28
Planning Measures – Example
Type of measures
Area of
application Measures limiting the
Eliminative measures Preventive measures
impact
Other methods of Technical process control, alarm Explosion pressure relief,
Technical
synthesis systems sprinklers
Organizational Emergency services
Process surveillance by
personnel, training and
instruction on behaviour in the
event of process deviations
No employees in hazard
Personnel Instructions for emergency
areas
29
Planning Measures
▪ Warning: In some cases, safety measures could have the required
effect on a given risk, but also create new risks elsewhere. Carefully
select the technical measures!
▪ Example: Installing safety valves on containers for toxic substances:
▪ Prevents the containers from bursting
▪ Danger if the valves are triggered
30
Risk Assessment - Assessment of
the Residual Risk
31
Assessment of Residual Risk
▪ Evaluation of the risk remaining despite all the planned safety measures:
▪ Risks consciously accepted
▪ Risks identified but incorrectly evaluated
▪ Hazards not yet identified
▪ No universal method exists to judge the acceptability of the residual risk.
The following aspects should be taken into account:
▪ Technical factors
▪ Economic factors
▪ Environmental and socio-economic aspects
▪ Emergency response measures should be established for accidents that
might result from the accepted residual risks.
▪ If the residual risk is too uncertain or too high, a new and more detailed
risk assessment must be undertaken.
32
Key messages
▪ Risk assessments is realized to obtain essential information on
safety and ensure the necessary level of safety for existing or new
processes or installations.
▪ It is composed by 6 main steps :
Description of the System
Definition of Safe Process Conditions
Systematic Hazard Identification
Hazard Assessment by Impact and Probability, Risk Evaluation
Planning of Measures
Assessment of the Residual Risk
▪ The evaluation of the risk remaining despite all the planned safety
measures. emergency response measures should be established
for accidents that might result from the accepted residual risks.
33
Sources
34
Sources
CSD Engineers, Switzerland/ISSPPRO, Germany, 2015
Suva: Détermination des dangers et planification des mesures au moyen de listes
de contrôle, Switzerland, 2013
Suva: Connaissez-vous le potentiel des phénomènes dangereux dans votre
entreprise?, Switzerland, 2013
Commission fédérale Suisse de coordination pour la sécurité au travail CFST:
Sécurité au travail et protection de la santé, Switzerland, 2012
Suva: Méthode d’appréciation des risques à des postes de travail et lors du
processus de travail, Switzerland, 2008
Suva: Checklist Welding, Cutting Soldering and Heating, Switzerland, 2013
ESCIS: Introduction to risk assessment – Approaches and methods, Switzerland,
1998
35
Disclaimer
This presentation was prepared with the requested diligence
and with the generally accepted principles of the relevant
field.
If a third party uses the contents of the presentation in order
to take decisions, the authors disclaim any liability for any
kind of direct or indirect (consequential) damage.
The copyrights to all text, images, logos, photographs, and all
other information contained in the presentation belong to
UNIDO.
36