Hazard Identification and Risk

Assessment

Office of Risk Management

uOttawa.ca
uOttawa
1

Hazard Identification and Risk Assessment

v1.1 – November 2021
Contents
Introduction ..................................................................................................................................... 4
Objective .......................................................................................................................................... 4
Responsibilities ................................................................................................................................ 5
Preparing for a Risk Assessment ....................................................................................................... 6
Conducting a Risk Assessment .......................................................................................................... 6
Risk analysis .............................................................................................................................. 7
Risk Evaluation .......................................................................................................................... 9
Risk Control ............................................................................................................................... 9
Supervisor Tools ..............................................................................................................................11
Record Retention .............................................................................................................................12
Resources ........................................................................................................................................12
Definitions .......................................................................................................................................13
 Version Control Table
Version Number Reviewed by Date Change Summary Status
V1.0 Graham Nelson January 2020 Initial version. Complete.
V1.1 Graham Nelson November 2021 Annual revision. Complete.

3
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
Introduction
Research – by its very nature – is inherently risky. Boundaries are pushed, with new theories and
discoveries tested. As a result, individuals who conduct experiments and processes must have a
solid foundation in hazard identification and risk assessment to safeguard the health and safety of
those directly and indirectly involved in this work.

The word “safe” is, at times, incorrectly interpreted as freedom from risk or consequence. Hazards
can be eliminated, and a thing or process can be made safer, but as long as a hazard exists, risk – no
matter how unlikely a scenario – perpetually remains. Mitigation and control measures may bring
risk down to a level that is considered tolerable and acceptable; however, it is not possible (or
realistic) to reach a zero level of risk. It is incumbent on those responsible for research or
operational work to ensure that before the work begins, the process has been reasonably evaluated
for risks and the supervisor has exercised due diligence in assigning the work.

For example, imagine a pedestrian waiting to cross a busy intersection. Traffic lights regulate traffic
flow and a red light means that drivers must stop. The hazard to the pedestrian is managed by the
presence of the traffic light, driver licencing, motor vehicle requirements, and the Highway Traffic
Act, all of which are risk controls that allow the pedestrian to safely cross the street when facing a
green light. But what if a driver does not stop at the red light? Any pedestrian crossing the street is
at risk of a vehicle not stopping. This scenario is not likely to occur, given the risk controls in place,
but it is still possible. And given the consequences of being hit by a car, the pedestrian must account
for a potential failure of the risk controls. Therefore, the pedestrian will probably look both ways
before crossing the street and act accordingly.

A risk assessment need not be complex; however, in the context of due diligence, a formal and
documented risk assessment will better ensure that everyone involved in the project or task
understands the hazards and risks, and how to safely and reasonably control them.

Objective
The purpose of this document is to provide a framework for supervisors to identify hazards and
evaluate risks within the scope of their responsibilities to prevent or reduce the probability and
severity of occupational injuries and illnesses through an appropriate hierarchy of hazard control
and risk mitigation measures.

The document will outline the differences between a hazard and a risk. It is important to note that
the presence of a hazard means that a risk exists. Where a hazard exists that cannot be eliminated,
risk controls are required. The goal of a risk assessment is to evaluate hazards, then remove that
hazard or minimize the level of its risk by adding control measures, as necessary. By doing so, you
have created a safer and healthier workplace. The risk assessment will try to answer:
• What can happen and under what circumstances?
• What are the possible consequences?
• How likely are the possible consequences to occur?
• Is the risk effectively controlled, or is further action necessary?

Risk assessments are often conducted before new processes or activities are introduced, when
hazards are identified, or when changes are introduced to the workplace.

4
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
This document was developed with CSA Z1002-12 – Occupational Health and Safety – Hazard
Identification and Elimination and Risk Assessment and Control and the Canadian Centre for
Occupational Health and Safety – Risk Assessment as primary reference points.

Responsibilities
Through Procedure 14-1 – Internal Responsibility Procedure for Health and Safety Issues, the
University of Ottawa has established a responsibility framework for all members of the uOttawa
community, most notably officers, directors, supervisors, professors, workers, students, visitors,
volunteers, and learners.

Supervisors
A supervisor has several legal obligations under applicable health and safety legislation, including :
ensuring that workers comply with the Occupational Health and Safety Act and Procedure 14-1;
informing workers about hazards; and providing instruction on preventative procedures. The list
below summarizes some of the supervisor’s duties from Procedure 14-1 with respect to hazard
identification and risk assessment.
• stay informed of the health and safety needs of workers under their authority;
• initiate the necessary preventive measures to control hazards associated with activities
under their authority;
• identify hazards, assess their risk and incorporate preventive and control measures into all
functions and activities that present a risk of some incident or accident with health-related
consequences;
• ensure the safety of people or workplace areas under their authority;
• before commencing new work or a new task, ensure that health and safety orientation,
instruction, and information are provided by a competent person to people under their
authority;

In the context of this document, the competent supervisor is the person primarily responsible for
identifying and documenting hazards, assessing the risks involved in the work task, and
implementing controls. The competent supervisor is responsible for communicating the results of
their hazard identification and risk assessment in a clear, formal, and straightforward manner to the
worker(s). The competent supervisor must then monitor and reassess the hazard identification and
risk assessment when new information becomes available that affects the work and not less
frequently than annually.

Workers
Workers are also responsible for health and safety when performing their duties. The list below
summarizes some of the worker’s legal duties from Procedure 14-1 with respect to hazard
identification and risk assessment.
• work in compliance with the provisions of the applicable health and safety legislation and all
health and safety procedures and practices that are made known to them;
• report all known health and safety hazards or any violation of the applicable health and
safety legislation or University procedures to their supervisor;
• not use or operate any equipment, machine, device, item or work method in a manner that
endangers themselves or other workers;

5
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
In the context of this document, a worker has the duty to report known hazards to their supervisor
and comply with the results of the risk assessment process conducted by the supervisor. A worker
has a right to refuse work if there is reason to believe that their working conditions endanger them
or another worker.

Preparing for a Risk Assessment

There are varying levels of risk assessment, from preliminary to detailed. People conduct risk
assessments every day, even though they may not be consciously aware of doing so (e.g.,
pedestrians crossing the street).

Before beginning a risk assessment, the supervisor must establish the proper context, including:
• Scope – the extent or lifecycle of the thing, process, or operation, including the physical
work area and the types of hazards assessed.
• Parameters – the scales used to assess the process, such as:
o Probability of occurrence (e.g., rare/unlikely/possible/likely/certain)
o Severity of occurrence (e.g., insignificant/minor/moderate/major/catastrophic)
• Stakeholders – those involved in the risk assessment, including those who are internal and
external to the process.
• Risk criteria – a definition of the situations that require further risk reduction to improve
worker protection. The criteria must be derived from applicable legislation and include input
from the relevant stakeholders.

Whether as part of a structured program or conducted informally, a risk assessment will follow the
following process:
• Identification of hazard(s);
• Elimination of hazard(s);
• Analysis of risks of the remaining hazard(s);
• Evaluation of risks of the remaining hazard(s).

Conducting a Risk Assessment

Hazards
The first step in assessing risk is to identify the hazards. The process to identify hazards must
consider the reasonably foreseeable hazards or situations related to the process being assessed that
may cause harm to a worker. Hazards may originate from any of the following hazard categories, or
any combination and interaction thereof:
• Chemical – Conditions that can lead to contamination by harmful or potentially harmful
substances. Examples include toxic gases, noxious fumes, corrosive liquids or powders, etc.
• Biological – Conditions where living organisms can pose a threat to human health. Examples
include blood and bodily fluids, infectious materials, viruses, etc.
• Physical – Conditions in which objects, materials, or structures can cause material or bodily
harm. Examples include objects or substances that are explosive, noisy, conduct electricity
(shock), or hazardous environments involving extreme hot or cold, radiation, slippery surfaces,
low ceilings, etc.
• Biomechanical – Conditions that cause biomechanical (body and movement) stress on workers.
Examples include workbench height, chair design, workstation set-up, etc.

6
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
 • Psychosocial – Conditions that can affect the thoughts, behaviour, and mental well-being of
workers. Examples include stress from using equipment without proper training or instruction,
or from being coerced into using defective tools or materials; burnout or depression from
constant exposure to high-stress situations, etc.

It is important to consider all available information about the hazard. This includes all aspects of
operations, including the physical components of equipment, the surrounding environment,
foreseeable human factors (including misuse and worker shortcuts), cognitive limitations on the use
of equipment or execution of the process, and all relevant phases of the process and/or operation.
Information may also be available from Safety Data Sheet (SDS), manufacturers literature,
information from reputable organizations, results of workplace sampling (e.g., direct, air, etc.),
workplace inspection reports, records of workplace incidents, including information about the type
and frequency of the occurrence, illnesses, injuries, near misses, interviewing workers, etc.

When identifying hazards, the assessor (i.e., the supervisor) must account for how a particular
hazard may potentially harm a worker. For example, some of the factors that affect the degree of
the hazard are:
• Amount (e.g., volume, concentration, intensity, etc.) of the hazard that can cause harm .
• Route of entry (e.g., inhalation, absorption, ingestion, injection).
• Frequency and duration of exposure.
• Manner of interaction.

The supervisor must also consider the potential combination of hazards and how they might interact
and affect each other, which may create an entirely different hazard (e.g., A + B = C rather than A + B
=AB).

The faculty health, safety and risk managers can provide supervisors with additional hazard criteria
for the specific situation.

Hazard Elimination
Once hazards have been identified, the preferred means of control is to eliminate the hazard. Only
once hazards have been identified can action be taken to eliminate them. For the purposes of a risk
assessment, it is assumed that when the hazard, or combination of hazards, is present, harm to a
worker will eventually occur if measures are not taken to eliminate or further control the hazard(s).
While the supervisor should strive to eliminate hazards to provide the greatest level of protection
from harm, this is not always possible or reasonable. The level of acceptable risk is determined by
analysing, then evaluating, risks. From this evaluation, the supervisor can identify and then apply
the appropriate controls to mitigate the hazard.

Risk analysis
Risk analysis is the process of developing an understanding of the risk that helps to improve and
focus the evaluation of the risk. The supervisor will likely identify multiple hazards; therefore, the
risk of harm should be prioritized, namely by identifying the risks that have the greatest potential
for harm and/or that are likely to occur most frequently. The supervisor should always prioritize
action on situations involving dangerous circumstances, with work suspended until interim (or
permanent) controls can be implemented.

7
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
The risk analysis should include:
• a description of the hazard or the hazardous situation;
• the methods of interaction, including the circumstances under which interaction with the
hazard can occur. The supervisor can determine this by reviewing anticipated worker tasks,
procedures, incident history, conducting observation tours, consulting with operators and
other workers, etc.;
• the frequency and conditions of exposure to the hazard;
• the severity of a potential exposure;
• the duration of exposure to the hazard;
• the environment in which the work is conducted;
• the education and training workers have received;
• the method in which a reasonable person would react in a particular situation;

It is important to remember that the assessment must take into account not only the current state
of the workplace but any potential situations as well.

The hazards and risk should be documented, with an example included below:
Task Hazard Risk Probability Severity Risk Level
Delivering Drivers work alone May be unable to
products call for help if 2 3 6
to needed
customers Driver occasionally Fatigue, short rest
have to work long time between shifts 3 4 12
hours
Drivers are often in Increased chance
congested traffic of collision. Longer 3 2 6
working hours.
Drivers must lift Injury to back from
boxes when lifting, reaching, 4 3 12
delivering products carrying, etc.

A supervisor may use the following scales to complete the table and quantify probability and
severity, thus reducing the subjective nature of the estimate. The corresponding value would be
added to the risk identified based on the descriptor.

Probability Value Descriptor

Almost certain 5 Anticipated to occur often during entire project.
Likely 4 Anticipated to occur several times during entire project.
Possible 3 Reasonably anticipated to occur at some time during entire project.
Unlikely 2 Not anticipated to occur during entire project but possible.
Rare 1 Not anticipated during entire project.

Severity Value Descriptor

Results in death, total loss or shutdown of system, significant
Catastrophic 5 release into the environment affecting the public or regulatory
intervention.
8
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
 Severity Value Descriptor
Results in permanent impairment, serious lost-time injury, loss or
Major 4
shutdown of part of system, large on-site release into environment.
Short-term lost-time injury, short-term interruption in use of system,
Moderate 3
recoverable release into environment.
Minor injury, minor damage to system, minor confined release into
Minor 2
the environment.
Insignificant 1 Very minor injury, with consequence less serious than Minor.

Risk level is assessed as probability x severity; therefore, if a risk is likely (4) to occur and would
result in major (4) consequences, that would yield a risk level of 16. In the truck driver example
above, drivers frequently lift boxes (rated as 4) and are therefore exposed to injury (rated as 3) for a
total risk level of 12.

The risk matrix below places the truck driver lifting boxes in the middle of the risk scale, meaning
that further risk control is likely required. The greater the risk level, the greater the urgency and
attention required to address the issue.

Probability
Rare (1) Unlikely (2) Possible (3) Likely (4) Certain (5)
Insignificant (1) 1 2 3 4 5
Minor (2) 2 4 6 8 10
Severity

Moderate (3) 3 6 9 12 15
Major (4) 4 8 12 16 20
Catastrophic (5) 5 10 15 20 25
Table 1 - Risk Matrix

Risk Evaluation
Once risks have been analyzed and estimated, the supervisor can conduct a risk evaluation. The risk
evaluation aims to formalize decisions about whether a particular work activity should be
conducted, which risks needs to be further controlled, and the priority for addressing the risks. The
treatment of risks may fit into one of four categories:
• Avoidance – taking action to exit (or avoid) the activity that gives rise to the risk(s).
• Reduction – reducing the risk probability, consequence, or both.
• Transfer – reducing risk probability or consequence by transferring or sharing a portion of
the risk.
• Acceptance – taking no action to affect probability or consequence.

The evaluation decision must be based on the individual situation, including the available risk
controls in place.

Risk Control
Risk control actions follow a hierarchy, with the elimination of the hazard to the reasonable extent
possible being the most preferred. If the hazard does not exist, it cannot cause harm. Where the
removal of the hazard is not possible, substitution of the hazard with a less-hazardous alternative is
the next best option.

9
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
Although eliminating the hazard is desirable, it is understood that work may need to involve
hazardous materials or hazardous conditions; therefore, hazard elimination and substitution are not
always feasible or realistic. Nonetheless, hazard controls still follow a hierarchy (refer to Figure 1).
Engineering controls, or controls implemented at the source of the hazard, are the next most
desirable and are typically the next most effective, as they usually do not require further
intervention by the end user; the control exists indefinitely. Some examples of engineering controls
include interlock devices, dual operation controls, fume hoods, etc.

If the implementation of engineering controls is not feasible or practical, the next-most-desirable

control measures are administrative controls. In other words, the way the work is conducted is
augmented or modified to reduce the extent of the hazard or exposure to it. Some examples of
administrative controls include reducing the time that a worker is exposed to the hazard, changing
the work practices, training programs, etc.

If none of the above hazard control options can be implemented, personal protective equipment
(PPE) is a reasonable hazard control option. Remember that PPE does not actually remove or reduce
the hazard – it only protects against the hazard for those individuals wearing properly selected and
fitted PPE. As a result, PPE is the least-desired control method, although it can still be effective.
Some examples of personal protective equipment are hearing protection, protective eyewear, fall
arrest harnesses, respiratory protection, and protective footwear.

A combination of hazard control measures may be required to achieve a reasonable level of worker
protection. For example, a worker conducting work inside a fume hood may also be required to
wear respiratory protection due to the acute toxicity of certain hazardous substances. Regardless of
the hazard control measure proposed, it must protect the worker and be reasonable.

It should be noted that hazard controls have the potential to fail – even under properly designed
and implemented processes – or may even introduce new hazards. If the hazard control fails, it will
be less effective in reducing the probability and/or severity of harm. When selecting risk controls,
the failure or deterioration of hazard controls must be considered along with the possibility that the
failure may introduce new hazards. Supervisors must regularly assess the effectiveness of hazard
controls to ensure that they remain effective.

Figure 1 depicts the hierarchy of hazard controls.

Figure 1 - Hierarchy of Hazard Control

10
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
Supervisor Tools
Supervisors have tools at their disposal to help them identify hazards and assess risks.

Job Safety Analysis (JSA)

A job safety analysis is a process that reviews job methods and uncovers hazards that may have
been overlooked in the design and layout of a facility or building, and in the design of the
machinery, equipment, tools, workstations, and processes. Additionally, hazards may have been
created or developed after production, occupancy, or may have resulted and evolved from changes
in work practices or personnel.1 The major benefit of the JSA comes once it is complete: it clearly
outlines the hazards and control measures of the activity, which can be easily communicated and
shared with others performing the work.

The JSA provides supervisors with an opportunity to review work practices and the individual tasks
conducted by those they supervise. Workers are encouraged to participate in the JSA process. For
new personnel, there is no better guide for training than a well-prepared JSA.

A JSA involves the following steps:

• Selecting the job. Activities selected for a JSA are typically broad and encompass a
multitude of steps or sequences that come together as part of a larger goal. Narrowly
defined tasks are generally not suitable for a JSA. The job(s) selected should be those with
potential for injury – either documented or speculative. Examples of factors to guide job
selection include those that feature injury frequency (including no-lost time occurrences),
potential incident severity, new processes, etc.
• Breaking the job down into steps. Once the job is selected, the job is broken down into a
sequence of steps required to accomplish the goal. Each step describes the work done and is
most often reviewed by an experienced and competent worker. The focus at this stage
should be on what is done, not how it is done.
• Identifying hazards and potential incident causes. After listing the activity sequence, the
supervisor identifies hazards (with how the work is done), including those directly related to
the work and those related to the environment. The common question that should be asked
at each stage of the job is “can an injury/illness occur”? If there is a hazard, the hazard
category (e.g., chemical – contact with XYZ, exposure to ABC, etc.) should be documented.
Once completed, the supervisor should revisit the hazards with the worker who was
observed, as well as other personnel performing or familiar with the task, to ensure an
accurate recording of the task.
• Developing solutions and implementing corrective actions. The last step of a JSA is to
develop hazard control measures to eliminate or mitigate the hazards. Examples of controls
may include physical barriers, a new way to perform the job, changing the conditions that
created the hazard, reducing frequency or exposure to the hazard, providing protective
equipment, etc. Each corrective action may introduce other, unintentional hazards that
require their own controls, which is why the process must be reviewed regularly to ensure
that control measures are suitable and reasonable.

A sample, blank JSA form is available online.

1 Accident Prevention Manual for Business and Industry – Administration and Programs. National Safety Council; pp. 207
11
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
Project Risk Assessment (PRA)
Much like operational work, a research project involves inherent risks. The project may be the first
of its kind, may involve new components or steps, or may be upscaled or downscaled. The intent of
the project risk assessment is like that of a job safety analysis; however, instead of focussing on the
job or task, the PRA focusses on the steps and expected outcomes of the specific project. Like a JSA,
the supervisor identifies the hazards at each step of the project, but also incorporates the
probability of the hazard causing harm (assess the risk). The supervisor can then implement
controls.

A sample PRA form is available online.

Pre-Start Health and Safety Review (PSR)

A pre-start health and safety review is an in-depth examination of an apparatus, structure,
protective element, or process identified in the table of Section 7 of Regulation 851 – Industrial
Establishments. The PSR is undertaken to identify any existing or potential non-compliance with the
applicable provisions of the regulation. PSRs apply to specific circumstances (i.e., those workplaces
defined as factories) and ensure a timely, professional review that identifies specific hazards and
ensures that such hazards are removed or controlled before the apparatus or process is started.
PSRs are generally conducted by professional engineers, who produce formal reports outlining all
areas of non-compliance. The report will include the measures necessary to achieve compliance.

The University of Ottawa is not a factory; however, in certain circumstances, it may prove beneficial
to have an apparatus, structure, protective element or process undergo a pre-start health and safety
review as a matter of due diligence.

You can find additional information on pre-start health and safety reviews in the Ministry of Labour,
Training and Skills Development Guidelines for Pre-Start Health and Safety Reviews and from the
faculty health, safety and risk manager or the Office of Risk Management.

Record Retention and Monitoring

All managers, supervisors, principal investigators and/or lab managers must maintain a record of
their hazard identification and risk assessments, including those conducted in the formats described
(e.g., job safety analysis, project risk assessments, etc.) or those conducted using alternate formats.

The supervisor is encouraged to share the completed hazard identification and risk assessment with
their faculty health, safety and risk manager. Managers/supervisors must regularly review their
assessments to ensure that it remains valid and appropriate for the circumstances.

Resources
Additional information is available from the following resources:
• Canadian Centre for Occupational Health and Safety – Risk Assessment
• CSA Z1002-12 – Occupational Health and Safety – Hazard Identification and Elimination and
Risk Assessment and Control (available from the Office of Risk Management).
• CSA 31000-10 – Risk Management – Principles and Guidelines (available from the Office of
Risk Management).

12
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
Definitions
Adapted from CSA Z1002-12 – Occupational health and safety – Hazard identification and
elimination and risk assessment and control.

Competent person – means a person who,

a) Is qualified because of knowledge, training, and experience to organize the work and its
performance;
b) Is familiar with this Act and the regulations that apply to the work; and
c) Has knowledge of any potential or actual danger to health or safety in the workplace.

Dangerous circumstances – means a situation in which,

a) a provision of the Occupational Health and Safety Act or related regulations is contravened;
b) the contravention poses a danger or a hazard to a worker; and
c) the danger or hazard is such that any delay in controlling it may seriously endanger a worker.

Hazard – the inherent property of something that may be a potential source of harm to a worker.

Hazard identification – the process of finding, listing, and characterizing hazards.

Risk – the combination of the likelihood of the occurrence of harm and the severity of that harm ,
commonly expressed as Risk = Likelihood x Consequence

Risk analysis – a process for comprehending the nature of hazards and determining the level of risk

Risk assessment – the overall process of hazard identification, risk analysis, and risk evaluation

Risk estimation – a process used to assign values to the likelihood and consequences of a risk

Risk evaluation – the process of comparing an estimated risk against given risk criteria to determine
the significance of the risk

Supervisor – means a person who has charge of a workplace or authority over a worker or another
person. Depending on the workplace relationship, a supervisor may include, for example, the
president, vice-presidents, directors, deans, managers or principal investigators. The determination
as to whether a person is a supervisor does not depend on that person’s job title. It depends on
whether the person is responsible for a location (for example, an office or laboratory) where the
work is performed on a paid or unpaid basis or whether the person gives direction to complete the
work performed by workers, students, visitors, volunteers or learners.

Worker – means any of the following:

• A person who performs work or supplies services for monetary compensation. This means a
University employee and includes a person who performs work or supplies services for
monetary compensation. Students hired by the University to perform paid work-study
program duties or co-operative education placement duties for the University are
considered workers

13
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021
 • A high school student who performs work or supplies services for no monetary
compensation under a work experience program authorized by the school board that
operates the school in which the student is enrolled
• A person who performs work or supplies services for no monetary compensation under a
program approved by a college of applied arts and technology, university or other post-
secondary institution.
• Such other persons as may be prescribed who perform work or supply services to an
employer for no monetary compensation.

14
uOttawa
Hazard Identification and Risk Assessment
v1.1 – November 2021