3.

0 The RISK FACTOR MATRIX Method

There are many methods of risk assessments and this article will confine to only the Risk
Factor Matrix method. Various models of Risk Factor Matrix methods can beused for risk
assessments. These models can be:
3 x 3 Matrix Model; 5 x 5 Matrix Model; 6x 6 Matrix Model; 7x 4 Matrix Model; and so on.
However, this article will illustrate only 3 x 3 Matrix Model and 5 x 5 Matrix Model. For
determination of severity and risk levels for 3 x 3 Matrix Model and 5 x 5 Matrix Model,
the guidancegiven bythe Health and Safety Executive (HSE), UK, and the Indian Standard
IS 18001-2007 are used.
3.1 THE 3 x 3 MATRIX MODEL
The formula for determining the risk factor is: R = P x S where R is the Risk factor, P is
the Probability of Failure and S is the Severity Category.
3.1.1 Probability of Failure (P):
A probability category is assigned to each item to provide a qualitative ranking of its
probability of occurrence. Probability Ratings have been defined as follows:

Highly Unlikely can be categorized as:

a.

All the required safety devices like guards, limit switches are provided.

b.

The effectiveness of safety devices is checked regularly.

c.

People are aware of SOPs.

d.

People are always using the prescribed PPEs.

e.

The behaviour of the workers is monitored on a regular basis.

f.

All machinery, equipment is maintained in good condition.

Unlikely can be categorized as:

a.

All the required safety devices like guards, limit switches are provided.

b.

The effectiveness of safety devices is NOT CHECKED regularly.

c.

People are aware of SOPs,

d.

People, sometimes DO NOT USE the prescribed PPEs.

e.

The behaviour of the workers is NOT MONITORED on a regular basis.

f.

All machinery, equipment is maintained in good condition.

Likely can be categorized as:

a.

All the required safety devices like guards, limit switches are provided.

b.

The effectiveness of safety devices is NOT CHECKED.

c.

Most people are not aware of SOPs.

d.

People, most of the times DO NOT USE the prescribed PPEs.

e.

The behaviour of the workers is NOT MONITORED.

f.

All machinery, equipment is maintained in good condition.

3.1.2 Severity Category (S):
According to consequences and possible escalation, a severity category is assigned to
each item, to provide a qualitative measure of the worst potential consequences
resulting from the considering hazardous event. Severity Ratings have been defined as
follows:

Slightly Harmful can be categorized as:

a.

Superficial Injuries,

b.

Minor Cuts and Bruises;

c.

Eye Irritation from Dust,

d.

Nuisance & Irritation (for example, headaches); and

e.

Ill health leading to temporary discomfort.

Harmful can be categorized as:

a.

Lacerations;

b.

Burns;

c.

Contusions;

d.

Serious Sprains;

e.

Minor Fractures;

f.

Deafness;

g.

Dermatitis;

h.

Asthma; and

i.

Work related upper limb disorders and disorders / ill health leading to permanent
minor disability.
Extremely Harmful can be categorized as:

a.

Amputation;

b.

Major Fractures;

c.

Poisoning, Multiple Injuries;

d.

Fatal Injuries;

e.

Occupational Cancer;

f.

Other severely Life Shortening

g.

Diseases; and

h.

Acute Fatal Diseases.

It may be noted here that all Legal non-compliances are considered as
HARMFUL
3.1.3 Risk Level (R):
Risk Level Ratings have been defined as follows:

The Risk Factor versus Action & Time Scale as per 3 x 3 Matrix Model is shown in Fig 1.
The 3 x 3 Matrix Model is shown in Fig 2.
3.2 THE 5 x 5 MATRIX MODEL
The formula for determining the risk factor is: R = P x S where R is the Risk factor, P is
the Probability of Failure and S is the Severity Category.
3.2.1 Probability of Failure (P):
A probability category is assigned to each item to provide a qualitative ranking of its
probability of occurrence. Probability Ratings have been defined as follows:

Very Unlikely: Could happen, but probably will never occur (There is a 1 in a million
chance of a hazardous event).
Unlikely: Not likely to occur in normal circumstances (There is a 1 in 100,000 chance of
a hazardous event).
Fairly Likely: May occur at some time (There is a 1 in 10,000 chance of a hazardous
event).
Likely: Expected to occur at some time (There is a 1 in 1,000 chance of a hazardous
event).
Very Likely: Expected to occur regularly under normal circumstances (There is a 1 in
100 chance of a hazardous event).

3.2.2 Severity Category (S):

According to consequences and possible escalation, a severity category is assigned to
each item, to provide a qualitative measure of the worst potential consequences
resulting from the considering hazardous event. Severity Ratings have been defined as
follows:

Fig 1: Risk Factor vs Action and Time Scale for 3 x 3 Matrix

Insignificant: No medical treatment or measurable physical effects.

Minor: Risk of Minor Injury/Damage or temporary minor adverse outcome.
Moderate: Risk of Moderate Injury/Damage or moderate reversible adverse outcome.
Major: Risk of Serious Injury such as a Broken Bone or Major Burn or major and
potentially irreversible adverse outcome.
Catastrophic: Risk of Death or Irreversible Permanent Highly Adverse Outcome.

Fig 2: The 3 x 3 Matrix Model adapted from Health and Safety Executive, UK.
3.2.3 Risk Level (R):
Risk Level Ratings have been defined as follows:

The Risk Factor versus Action and Time Scale as per 5 x 5 Matrix Model is shown in Fig 3.
The 5 x 5 Matrix Model is shown in Fig 4.
4.0 CONCLUSION
There are a number of techniques and methods used for identification and assessment of
hazards in workplaces. The OHSAS 18001 is an internationally applied British Standard
for occupational health and safety management system, which is becoming day by day
popular in various countries for assessing hazard identification and risk assessment.
The OHSAS 18001 is compatible with ISO 9001 and ISO 14001. In 2016, a new ISO
standard ISO 45001 is expected to be published which will supersede OHSAS 18001.

Fig 3: Risk Level vs Action and Time Scale for 5 x 5 Matrix

The hazard identification and risk assessment can be carried out by applying various
matrix models. Depending upon the size of the workplace, nature of processes and the
hazards involved, a particular model can be selected. If the workplace is small and
processes involved are less hazardous, then, a 3 x 3 Matrix Model is the best suited for
such type of workplaces. If the workplace is very large and processes involved are more
complex, then, a 5 x 5 Matrix Model is the best suited for such type of workplaces. It is up
to the expert to decide which model should be used in any given workplace.

Fig 4: The 5 x 5 Matrix Model adapted from Health and Safety Executive, UK.