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Preliminary hazard analysis (PHA) worksheet
A preliminary hazard analysis, or PHA, is an early, structured look at what could hurt people in a new line, machine or process, done while the design can still change cheaply. The team describes the system, works through prompts such as energy sources, moving parts, chemicals, height and operating modes, then lists each hazard with its cause and worst credible effect, scores it for severity and likelihood, and picks a control from the top of the hierarchy of controls: eliminate, substitute, engineer, then administrative and PPE. It is a first pass, not a detailed study: it comes before a job hazard analysis or a process FMEA, and it tells you where a closer look is needed. This worksheet has four landscape pages: the system and a prompt list, the hazard table, a scale and matrix of our own with four risk classes, and a worked example of a made-up palletising cell. The Excel version works out the class from the matrix, flags high risks that have no control, and counts hazards by class before and after controls.
Free to use: print it, copy it and edit it for your team. Enter your name and work email once to download.
Fields for the system, phase and team beside two boxes for what the system does and its boundary, and seven groups of hazard prompts with tick boxes.System description35 hazard promptsHazard tableSeverity and likelihood scalesRisk matrix with four classesHierarchy of controlsRe-score and summaryWorked example
When to use it
When to use a preliminary hazard analysis
- Before you buy or build a new line, machine or cell, while a guard, interlock or layout change still costs little.
- When a process changes in a way that brings in new energy, a new material or a new way of working.
- To decide where a closer study such as a job hazard analysis or a process FMEA is needed, and where it is not.
- To give a project or capital review a record of the hazards found and the controls chosen before approval.
- Not for a task that is already running (use a job hazard analysis) or for a failure mode study of a process (use an FMEA).
How to fill it in
- 1
Describe the system and set its boundary
Write what it does, what goes in and out, where it sits and what is next to it. Say what is in scope and what is not, and note the phase, such as concept or design.
- 2
Work through the prompts
Go through the energy, moving parts, materials, height and access, people, operating modes and surroundings prompts. Tick any that could apply. Include maintenance, cleaning, jam clearing and start-up, where many injuries happen.
- 3
List each hazard with its cause and effect
One row for each hazard: what it is, what makes it happen and the worst credible effect on a person. Keep the effect to what could realistically happen, not the worst imaginable.
- 4
Score severity and likelihood
Score severity from 1 to 4 and likelihood from A to E using the scales on page 3, with the controls already in the design. The matrix gives the risk class.
- 5
Choose a control from the top down
Try to eliminate the hazard first, then substitute, then isolate people from it with engineering, then change how people work. Use PPE only on top of the layers above, not instead of them.
- 6
Re-score and decide
Score again with the control in place. Agree who accepts the risk that is left. Anything still in class I or II goes back for a better control before the next stage.
Risk classes
What each risk class means on this worksheet
Severity runs from 1 (minor) to 4 (catastrophic) and likelihood from A (frequent) to E (improbable). The matrix and wording are an example made for this worksheet; adapt them to your own scale and keep them the same across analyses.
| Class | Name | What to do | Example from the worked example |
|---|---|---|---|
| I | Unacceptable | Do not go ahead. Redesign or add controls until the risk is lower. | Robot arm reaches into the pallet area, severity 4, likelihood B. |
| II | High | Agree and fund a control before the next stage, with senior sign-off to continue. | Stored air in the pneumatic circuit, severity 3, likelihood C. |
| III | Medium | Add controls that are reasonably practicable and review at design freeze and start-up. | Pinch point at the roller transfer, severity 2, likelihood B. |
| IV | Low | Accept, and check at commissioning and in routine inspections. | Cardboard dust at the infeed, severity 1, likelihood B. |
I
- Name
- Unacceptable
- What to do
- Do not go ahead. Redesign or add controls until the risk is lower.
- Example from the worked example
- Robot arm reaches into the pallet area, severity 4, likelihood B.
II
- Name
- High
- What to do
- Agree and fund a control before the next stage, with senior sign-off to continue.
- Example from the worked example
- Stored air in the pneumatic circuit, severity 3, likelihood C.
III
- Name
- Medium
- What to do
- Add controls that are reasonably practicable and review at design freeze and start-up.
- Example from the worked example
- Pinch point at the roller transfer, severity 2, likelihood B.
IV
- Name
- Low
- What to do
- Accept, and check at commissioning and in routine inspections.
- Example from the worked example
- Cardboard dust at the infeed, severity 1, likelihood B.
What's on the worksheet
The 35 hazard prompts, in seven groups
Work through them for the system you are analysing and tick any that could apply. Each one that applies becomes a row in the hazard table, with a cause, an effect, a score and a control. The Excel version counts the prompts marked Yes that have no hazard written yet.
Energy sources
Anything that stores or delivers energy a person could meet
- 1Electrical: mains, control power, batteries, capacitors, static
- 2Stored pressure: compressed air, hydraulics, steam, springs under load
- 3Heat or cold: hot surfaces, ovens, cryogenics, hot product
- 4Gravity: loads that can fall, tip or roll, and anything lifted overhead
- 5Radiation, lasers, strong magnets or ultraviolet light
Moving parts and machinery
What can catch, cut, crush or strike
- 6Rotating or reciprocating parts, in-running nips and pinch points
- 7Robots, manipulators and automatic guided vehicles that move without warning
- 8Cutting, punching or pressing actions, and parts that eject or fly off
- 9Conveyors and transfer points where a hand can be drawn in
- 10Vehicles and forklifts moving near the system
Materials and chemicals
What the system makes, uses or gives off
- 11Flammable, combustible or explosive material, dust or vapour
- 12Toxic, corrosive or irritating chemicals, in use or in storage
- 13Hot, molten or pressurised product, and what happens if it leaks
- 14Waste, spills and cleaning chemicals
- 15Biological hazards, allergens or contamination of the product
Height, access and space
Where people have to go to run or maintain it
- 16Work at height: platforms, ladders, mezzanines, roofs
- 17Confined or enclosed spaces that someone must enter
- 18Slippery, uneven or cluttered floors and trip points
- 19Poor lighting or restricted view at the point of work
- 20Blocked or too few exits from the area
People and ergonomics
How the work is done, not only the machine
- 21Heavy, repetitive or awkward lifting, reaching or posture
- 22Controls and displays that are hard to reach, read or tell apart
- 23Tasks that need two people or a lifting aid and have neither
- 24Noise, vibration or heat that builds up over a shift
- 25Lone working, night work or fatigue at the point of work
Operating modes and phases
Hazards change when the system is not in normal running
- 26Start-up, shutdown and restart after a stop
- 27Clearing jams and other tasks done close to moving parts
- 28Maintenance, cleaning, changeover and adjustment
- 29Commissioning, trials and training of new operators
- 30Failure of power, air, water or a safety device, and emergency stop
Surroundings and interfaces
What the system touches
- 31Neighbouring equipment, walkways and work areas
- 32Fire, explosion and spill effects on the rest of the plant
- 33Software, controls and networks: unexpected starts or faults
- 34Contractors, visitors and people who do not know the area
- 35Environmental release: air, water, waste or noise beyond the site
A filled-in example
Illustrative, not a benchmarkAn example: a made-up palletising cell at the end of a packaging line, analysed at the design stage, before purchase.
- The team found 14 hazards: moving robot, dropped loads, stored air, forklift traffic, pinch points, noise, slips, lifting, live parts, a bypassed light curtain, fire, reach, dust and a blocked exit.
- Two were class I before any control: the robot reaching into the pallet area and a pallet dropped from the gripper. Four were class II, seven class III and one class IV.
- The controls chosen were mostly engineering: an interlocked gate that stops the robot safely, a gripper that holds on power loss, an isolation valve with a bleed point, a fixed barrier between forklifts and walkers, and a quieter pump.
- After re-scoring, nothing is left above class III: eight hazards are class III and six are class IV.
Both class I hazards were closed by design changes made before the cell was bought, which is the point of doing the analysis early. The hazards and scores are invented to show how the worksheet is used.
Common mistakes
Doing it after the design is fixed
A preliminary analysis only pays off while the design can still change. Once the machine is built, the only controls left are procedures and PPE.
Scoring the worst imaginable outcome
If every hazard is catastrophic, the matrix stops sorting anything. Score the worst credible outcome and say how you reached it.
Leaving out maintenance and jam clearing
Normal running is often well guarded. The hazards are in start-up, maintenance, cleaning and clearing jams, so go through every operating mode.
Jumping to PPE or a procedure
A rule or a glove is the weakest control. Ask first whether the hazard can be removed or the person kept away from it.
Not re-scoring
A control has not been shown to work until you score the risk again and someone agrees the risk left is acceptable.
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FAQ
Preliminary hazard analysis (PHA) worksheet: common questions
A preliminary hazard analysis is an early, structured look at the hazards of a new system, done while the design can still change. The team lists hazards, their causes and effects, scores the risk and chooses controls. It comes before detailed studies such as a job hazard analysis.
A PHA is a first pass on a whole new system at the design stage. A job hazard analysis breaks an existing task into steps and finds the hazard in each. A failure mode and effects analysis looks at how each part of a process or design can fail. The PHA often tells you where the other two are needed.
As early as there is a concept to analyse and before the design is frozen or the equipment is bought, and again when the design or the process changes. The earlier a hazard is found, the cheaper the control.
Use one your site has agreed and keep it the same across analyses so scores can be compared. This worksheet gives an example: severity 1 to 4, likelihood A to E, and four risk classes. Change the wording to fit your own standards.
A PHA is one kind of risk assessment, used early in a project. A risk assessment can also be a detailed study of an existing task or machine. Check which method your regulator, your customer or your insurer expects for the case you have.
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- DMAIC project charter templateThe Define-phase charter on one page: problem and goal, metrics, scope, team and phase dates, with savings and a tollgate checklist.
- Water spider route plan (mizusumashi)A water spider's fixed route: stops with arrival times, what is delivered and collected, route time against the cycle, cart load and a trip log.
- Cost deployment matrixWCM cost deployment on paper and in Excel: loss quantities by process, causal and resultant losses, the cost of each loss, a Pareto and the projects that recover them.
- Equipment criticality analysisAssets scored 1 to 5 on six criteria with your own weights, ranked and sorted into classes A, B and C with a safety override and a suggested maintenance strategy.
- Bottleneck analysis worksheetEffective capacity per station from cycle time, parallel units, availability and yield, the bottleneck, takt and utilization, a queue cross-check and the five focusing steps.
- QA matrix templateDefect modes against stations in flow order: where each is made and first caught, a weight × occurrence × detection score, an AA to C class and the escapes flagged.
- Fault tree analysis templateA drawing area with the FTA symbols, an event table with probabilities and minimal cut sets, and the gates worked out bottom-up in Excel.
- Is / is not analysis templateWhat, where, when and extent with is, is not, distinctions and changes, then each possible cause tested against every pair and ranked.
- 5G investigation sheetConfirm the facts before naming a cause: 5W1H, the five G's with 20 prompts, the gap against the principle and the standard, and the countermeasures.
- Yokoten tracker (horizontal deployment)Copy a proven improvement line by line: the source result, each candidate's own before and after, its share of the source's improvement and the standard updated.
- Coaching kata template (improvement kata storyboard)The learner's storyboard (target condition, current condition, obstacles, PDCA cycles) and a fold-over card with the coach's five questions.
- SMART goals templateWrite a goal, test it against the five SMART letters, then track progress toward the target against the time used.
- Lean readiness assessment templateTwenty statements in four factors, scored 1 to 5 by several people on their own, with averages, the spread between them and the actions.
- Nemawashi template (stakeholder plan)Plan the one-to-one conversations before a decision: who to talk to in what order, their concerns, what changed and where they stand.
- Breakdown analysis reportOne equipment breakdown from the stop to the 90-day check, plus a breakdown log with repeat flags, MTBF and MTTR by asset and a Pareto of causes.
- Heijunka box planner (production leveling)Weekly demand turned into containers a day, takt, pitch and slots, a leveled sequence of products and the heijunka box, with a check that the changeovers fit.
- 4M change management sheet (change point)A shift log of every change to Man, Machine, Material, Method or Design, the extra checks after it and when normal checks resume, with a change point board.
- Future state value stream map worksheetThe eight future-state questions worked through in order: takt, pitch, flow, supermarkets, the pacemaker and the mix, with an EPEI check and current against future lead time.
- Value stream plan (VSM action plan)The future-state map cut into loops, each with an objective and a measurable goal, and its kaizen bursts turned into owned, dated projects on a 12-month timeline.
- Kaizen project plan (Gantt chart)One improvement project as a Gantt chart: tasks by phase with owners, predecessors and working days, a 16-week grid, milestones and a status from planned against actual % done.
- Histogram templateReadings, bins set by the square root rule, a tally and counts, the spec limits drawn and the share out of spec, with the common shapes explained.
- Scatter diagram templateUp to 50 pairs with a group code, r and R², the least squares line, the quadrant count and r for each group.
- Escalation matrix templateWho is called for each type of issue and after how long, with severity rules, contacts and an escalation log.
- Visual management audit checklist29 checks of whether anyone can tell normal from abnormal at a glance, scored by group, with a trend and actions.
- Quality alert formA quality alert to post at the line, a sign-off sheet for every shift, and a log of open, expired and closed alerts.
- TQM self-assessment templateThe eight TQM principles in 24 statements you can check on the floor, scored 0 to 4 by several people, with the spread, the top 3 gaps and an action plan.
- Employee recognition program templateDesign a recognition program on one page, then run it: points per action, prizes, budget, a points ledger, a monthly leaderboard and a fairness check by team and shift.
- Lean transformation roadmapA plant-wide lean program on one sheet: six phases with exit criteria, six workstreams by quarter over 24 months, the model line, metrics with baseline and target, cadence and risks.
- Obeya room plannerPlan the walls, owners, cadence, agenda and rules of an obeya, then run the weekly review of KPIs, problems, actions and milestones.
- Continuous improvement software evaluation scorecardCompare CI software vendors: a must-have gate, eight weighted criteria scored 1 to 5, points out of 100 and a rank, with a demo script and reference questions.
- Lean principles assessment templateThe five lean principles as 25 things you can see on one value stream, answered yes, partly or no on a walk, with a score per principle, the next step and a trend over walks.
- Employee engagement survey templateA short anonymous pulse survey for shop floor staff: 14 statements in six drivers, two open questions, results by driver and team, and the actions.
- Hansei reflection sheet (lessons learned)A written look back at one finished project, event or launch: goals against results in numbers, causes rather than blame, lessons to keep or change, and where else they apply.
- Daily kaizen routine boardA team's 10 to 15 minute daily routine at the board: one problem from each person, small fixes with one owner, counted every week.
- Quality circle meeting recordA circle's charter, a one-page record for each meeting and a problem register that follows every problem from selected to closed or escalated.
- Weekly maintenance schedule templateNext week's maintenance jobs, scheduled only when ready, loaded against each craft's hours by day, with schedule compliance and break-ins at week end.
- Operational excellence assessment templateThe ten principles of operational excellence as 30 behaviors and practices you can see, scored 1 to 5 by several people, with the spread, the three lowest principles and an action plan.
- Scrum meeting agenda templateTimed agendas for the five scrum meetings, a sprint planning sheet, a retrospective sheet, and an Excel sprint backlog with a burndown.
- Toyota Production System (TPS) house templateThe TPS house for one plant or value stream: roof, two pillars and foundation, with what you do today, the evidence, a status and the next step for each element.
- EPEI and batch size calculatorHow often each part can come round on a shared machine (EPEI) and how big each batch must be, from demand, cycle times and changeovers, now and after SMED.
- Process capacity sheet templateEach machine in a part's routing with manual, auto and tool change time, its capacity per shift, and the step that limits the cell against demand.
- Jidoka worksheet (stop at abnormality)For one line or cell, every abnormality that should stop the work: how it is detected, how the work stops, who is called, the immediate fix and the root cause step, plus a log of real stops.
- Team charter templateA one-page charter for a standing team: purpose, scope, roles, the KPIs it owns, which decisions it makes itself, norms and cadence.
- Chaku-chaku line plannerPlan a load-load cell: time each machine, load and walk, check that every machine is ready when the operator comes back, compare the cell cycle with takt and size the crew.
- Standard operating procedure (SOP) templateA full SOP in the hierarchical step format, from purpose and scope to the steps, records, revision history and approvals, with review checks and an SOP register.
- Process improvement method selectorEight questions about one problem, an example rule that suggests a method and a matrix of nine methods: when each fits, the usual team and time, and the template to start with.
- Root cause analysis templateOne report from problem statement to proof: containment, evidence, analysis, verified causes, actions and the effectiveness check.
- Quality control pillar 90-day model area planThirteen weeks from the QA matrix to the QM matrix on one model area, a KPI board, the day-90 gate and expansion waves.
- Autonomous maintenance 90-day model area planAM steps 0 to 3 on one model machine in 13 weeks, a KPI board, the day-90 gate and expansion waves for months 4 to 12.
- Professional maintenance (PM) 90-day model area planThirteen weeks from breakdown analysis to a running PM calendar on one model machine, a KPI board, the day-90 gate and expansion waves.
- Environment and energy pillar 90-day model area planThirteen weeks from waste and energy maps to area standards on one model area, a KPI board, the day-90 gate and expansion waves.
- Focused improvement 90-day model area planThirteen weeks from the loss Pareto to standardized fixes on one model line, a KPI board, the day-90 gate and expansion waves.
- Logistics and customer service pillar 90-day model area planThirteen weeks from the current-state map to pull on one model value stream, a KPI board, the day-90 gate and expansion waves.
- People development pillar 90-day model area planThirteen weeks from the skills matrix to trained cover on critical tasks in one model area, a KPI board, the day-90 gate and expansion waves.
- Cost deployment pillar 90-day model area planThirteen weeks from the loss map to costed, ranked projects in one model area, a KPI board, the day-90 gate and expansion waves.
- Moving from Excel to one system checklistA 34-point checklist and a file inventory for moving trackers from spreadsheets to one system: keep, move, connect or retire, clean, pilot, run both, retire.
- Prioritization matrix templateScore up to 20 improvement ideas on weighted criteria, rank them, test the ranking with equal weights and place each one on an effort and benefit grid.
- Cost per unit worksheet (manufacturing cost per good unit)One product's cost per good unit by materials, labor, machine and overhead, the gap to target, and which cost lever is worth most a year.
- Manufacturing KPI dashboard templateWeekly plant numbers in, 14 KPIs out: OEE and its parts, first pass yield, scrap, on-time delivery, recordable rate, cost and absence, each against a target.
- Error-proofing verification log (daily master-sample check)Each poka-yoke device proved every day or week with a known-bad sample, with missed checks counted and the hours and parts at risk worked out when one fails.
- Downtime reason codes template26 starter codes mapped to the six big losses, a log with drop-downs, a Pareto by code and by loss, and a code card for the line.
- Defect catalogue template with boundary samplesEvery defect with a definition, a class and the reason for it, measured accept and reject limits by zone, boundary samples, a defect log with DPU and Pareto, and an inspector agreement check.
- Kaizen event preparation checklistEverything that has to be ready before a kaizen event and done after it: 44 items with owners and due dates from 6 weeks before day 1 to 30 days after, five go or no-go gates and a day-by-day agenda.
- Attribute control chart template (p, np, c and u charts)p, np, c and u charts in one workbook: a chart selector, a sample size check, limits for each subgroup, signal flags and four worked examples.
- Critical spare parts list and stocking levelsAssets ranked by consequence, each part classed and given a stocking policy, and min and max worked out from usage and lead time, with the downtime each stock-out would cost.
- Tier 2 meeting agenda and escalation sheetA 15-minute tier 2 agenda in ten timed blocks, fixed roles and rules, escalation triggers with time limits, and a log that ages every escalation and sends the answer back down.
- Mock recall template: traceability exercise worksheetTrace a finished lot back to every input lot and forward to every first customer, reconcile the quantities against a tolerance and time it against your target.
- ISO 9001 internal audit checklist (production area)46 audit questions for the production floor in 11 processes, each with its ISO 9001:2015 clause, what evidence to look for and the sample to take, plus five defined grades, a findings log, a finding report and a summary by clause.
- Plan for every part (PFEP) templateOne row per part: supplier, pack, container, usage, lead time and locations, with ABC classes, market and line kanban counts and a lineside space check.
- Food plant GMP inspection checklist (21 CFR 117 subpart B)55 checks in the order of 21 CFR 117 subpart B, each citing its paragraph and saying what to look at, with a grade, finding, owner and due date; results by section and grade, a walk route and a bakery example.
- Master sanitation schedule with pre-op verificationA master list of cleaning tasks by area and equipment with frequency, chemical, lockout, who and next due date, a weekly on-time count, and the pre-operational verification log with a release step.
- Changeover matrix templateA from-to matrix of changeover minutes with the clean each transition needs (allergen, colour, format), and a weekly planner that totals the order and suggests a shorter one.
- Measurement uncertainty budget templateA GUM uncertainty budget: Type A and B rows, divisors by distribution, sensitivity coefficients, uc, νeff, k from the t-table, U, TUR and a guard band check.
- Maintenance job plan templateOne job planned on one sheet: steps and craft hours, parts checked against stock, tools, lockout and permits, documents, a ready check for the schedule, and technician feedback.
- Reorder point and safety stock sheet (many parts)Safety stock, reorder point, order quantity and an order list for up to 500 parts, worked out from each part's own demand and lead time history.
- Energy use and EnPI trackerMonthly electricity, gas and fuel in one unit, a 12-month regression baseline, expected against actual energy for each month, an EnPI ratio, the running saving and the tests that say whether the model can be trusted.
- FIFO lane sizing sheetThe maximum for a FIFO lane from the stop it must cover, in whole containers, with length, refill and wait checks for up to eight lanes.
- Condition monitoring route sheetA route of measuring points with baselines, alert and alarm limits, a check interval from the P-F interval, readings with rising and overdue flags, and an exceptions list worst first.
- Quad chart templateA project on one page in four boxes: idea and owner, problem, approach, and cost, schedule and result.
- Loss tree worksheetBreak one big loss number into area, line, machine, loss type and cause, and stop at the cause a team can fix.
- Equipment register templateOne row per asset, with hierarchy, criticality, PM strategy and owner, and a check that flags what is missing.
- Machine history record templateOne record per machine: components and their life, every breakdown and repair with cost, MTBF and MTTR, and a repair-or-extend check.
- Compressed air leak survey logWalk sheet, printable leak tags and a tracker that puts an annual cost on every leak and follows it to a verified fix.
- Defect detection matrix templateMap where each defect is created and where it is found, score the gap and move the check closer to the cause.
- Project savings validation checklistThe gate between a project's claim and a reported saving: 20 checks, a claims register and a six-month sustainment check.
- Energy loss matrix templateSeven types of energy loss by six energy sources with a cost in each cell, an action plan and an idle-period shutdown checklist.
- Environmental compliance audit checklistAn internal environmental audit: 37 questions with what to look for, a findings log with classes and a score by section.
- Out-of-control action plan (OCAP) templateA reaction plan for a control chart: the steps, what each signal means, who to call and a log of events.
- Quality inspection checklistAn in-process and final inspection record: measured characteristics, visual checks, a decision and first pass yield.
- AQL sampling plan templatePick a sample size, read accept and reject numbers, record the defects and decide on the lot.
- Incoming quality control stage sheetA register that shows how much control each purchased part has and plans the move from your dock to the supplier's process.
- Internal audit schedule templateA year of internal audits planned by risk: the programme, the register, the auditors and the findings.
- Approved supplier list templateThe list of suppliers you may buy from, with the evidence behind each, certificate expiry alerts and re-evaluation dates.
- Pest control inspection checklistA pest control walk-round for a food plant, with a log of traps and stations and action levels for each type of device.
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A shift handover sheet, a red tag log, a changeover checklist for one machine: if your team uses it on the floor, ask.