It's the responsibility of the principal investigators (PI) and researchers to identify reasonably foreseeable risks associated with their research and control the risks so far as is reasonably practicable.
All participants and research assistants have the right to expect protection from physical, psychological, social, legal and economic harm at all times during an investigation. Certain research may also present reputational, legal and / or economic risks to the University.
As part of the ethical approval process for research involving human participants you are required to identify potential risks associated with your research and the action you will take to mitigate risk. You may be asked to submit your risk assessment.
The risk assessment process is a careful examination of what could cause harm, who/what could be harmed and how. It will help you to determine what risk control measures are needed and whether you are doing enough.
The PI and researchers need to take responsibility for all assessments associated with their projects. Occasionally you may need research workers or students to risk assess an aspect of the work and you will need to check the assessments are adequate and sign them off.
Risk assessors need to be competent and you’ll need to ensure they have adequate training and resource to do the assessments. There is risk assessment training available and
The risk assessment process is a careful examination of what could cause harm, who/what could be harmed and how. It will help you to determine what risk control measures are needed and whether you are doing enough.
To simplify the process you can use the health and safety risk assessment templates, risk estimation tool and guidance for all risks associated with your research project. Please refer to the research risk estimation guidance under how to carry out a risk assessment below to assist you.
Typical risks that need to be considered as part of research ethics are:
The potential hazards and risks in research can be many and varied. You will need to be competent and familiar with the work or know where to obtain expert advice to ensure you have identified reasonably foreseeable risks. Here are some common research hazards and risks:
Carrying out initial risk assessments as part of the planning process will help you identify whether existing resources and facilities are adequate to ensure risk control, or if the project needs to be altered accordingly. It will also help you to identify potential costs that need to be considered as part of the funding bid.
Once the project is approved, research specific risk assessments need to be carried out before work starts.
The research may need ethical approval if there is significant risk to participants, researchers or the University.
The University standard on risk assessments provides guidance, tips on getting it right, as well as resources and the forms to help you produce suitable and sufficient risk assessments and must be used.
Refer to
Risk assessments must relate to the actual work and must be monitored by the PI. If there are significant changes to the activities, locations, equipment or substances used, the risk assessment will need to reviewed, updated and the old version archived. Risk assessments should also consider the end of projects, arrangements for waste disposal, equipment, controlled area decommission and emergencies.
These risk assessments relate to the actual work and must be monitored by the PI. If there are significant changes to the activities, locations, equipment or substances used, the risk assessment will need to reviewed, updated and the old version archived. Risk assessments should also consider the end of projects, arrangements for waste disposal, equipment and controlled area decommission and emergencies.
If you would like training on completing a risk assessment, please book onto our Risk Assessment Essentials course via HR Organiser. If you are unable to access this, please email safety@essex.ac.uk