Risk

Assessment
Principles &
Practice
(Cont.)

1.17

The 5 steps to Risk

Assessment
Lets us now consider the HSE guidance leaflet, Five Steps to Risk
Assessment (INDG163). Later, you will note that we have expanded on this
HSE document. However, for the purposes of your NEBOSH examination, it
is essential that you can recall the following:

STEP 1

Look for the hazards.

Decide who might be harmed.

Evaluate the risks and decide whether the existing

precautions are adequate or whether more should be done.

Record your findings and implement them.

Review your assessment and revise it if necessary.

STEP 2

STEP 3

STEP 4

STEP 5

We will now consider each of the five steps in turn and in some detail.
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Step 1

1.18

Identify the significant hazards

IDENTIFY & SIGNIFICANT.

We can use a simple analogy of 'Significant' in this case, the difference between
trivial and non-trivial, i.e. significant = important.

1.19

Step 2
3

Consider, groups of people or individuals who may be

harmed from the hazard(s).

We are all different; different in size, age, experience

and attitude. Older people tend to move slower, younger
people may be less experienced workers who may lack an
understanding of the workplace hazards.

Persons with disabilities must have particular

consideration. How will you warn a person with a hearing
defect of the fire alarm? What about the road worker who only
has vision in one eye (see the law section and table of cases).

Regulation 18 of the MHSAW Regulations deals with

expectant and new mothers. Take a look at this regulation and
make a note of the requirements.

1.20

Step

3
4

Consider the existing control

measures

Before you start assessing how likely a hazard is to

cause actual harm or loss, you must consider what controls
are in place to reduce the likelihood. In the example, you will
note how this is achieved.

Implementing control measures should be

considered from a hierarchy:

Order of Control Measure. Priority / Control Hierarchy.

1 ) Total elimination or avoidance of the hazard at source.

This means don't do what you are intending to do. In reality, this is difficult to
achieve in the workplace but it must be considered in certain circumstances.

2)

Substitution of the hazard at source.

This means to substitute for a less hazardous process or substance for instance.
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3)

Placing a guard of some kind.

Moving parts of machinery, attack-proof glass in a bank etc.

4)

Remove the employee from the hazard.

In a noisy environment, the employee could be placed in a sound-proof work area.

5)

Reduce the expose of the employee from the

risk.

In noisy environments, reduce the time that the employee is exposed to the high noise
levels.

6)

Produce a safe method of working/safe

system/safe procedure that is known to the
employee and followed.

When erecting a tower system for instance or administering medication.

7)

Ensure adequate and suitable levels of

supervision.

Close supervision is sometimes required for complex high risk activities or where the
employee is inexperienced, young, requires training etc.

8)

Training.

Employees require safety training commensurate with their work activities.

9)

Make safety rules, or issue instructions.

Ensure that employees are aware of these rules and follow them.

10 )

Issue Personal Protective Equipment (PPE)

Hard and bump hats, boots, gloves, knee pads, safety goggles and ear defenders etc. This
really should be the last resort and where the risks cannot be adequately controlled by other
means

11 )

Tell the employee to be careful.

This may help, but it should not be relied upon. HSE figures show that
90% of all accidents are caused through human error.
You will note that some of the control measures will require additional
measures, for instance, training on the job may require close supervision,
issuing PPE will require training in its use etc.
It is essential that you can recall this list in the correct order for your
NEBOSH examination.

1.20.1

Step 3

(Continued.)

Assess the Risk

(Probability)
There are so many methods and models of assessing risk that we
cannot list or detail them all here; in any case, you may find that you develop
your own. Nevertheless, we have provided one method below for you to
consider.
Many charities, as you will be aware, have retail outlets, shops. In most
cases, the hazards are easily identified and relatively simple to assess and
control. In these cases, most managers of the shops would use a risk rating of
Low, Medium or High risk, which is to say that they would simply say that
one hazard is more dangerous than another. They did not see the need to
complicate the issue. In the case of medium risks, they would implement
measures to attempt to reduce the risk to low. High risks meant that the
activity would not be undertaken or in the case that the activity was already in
place, would be stopped.

Example of Risk evaluation tool.

Prioritising Risks
Probability

Consequence

Very Likely

Likely

Unlikely

Highly
Unlikely

Fatality

High

High

High

Medium

Major

High

High

Medium

Medium

Minor

High

Medium

Medium

Low

Medium

Medium

Low

Low

Negligible

Hazard
S68 Drill
Press

Entanglement.
Cutting.
Abrasion.

RA

Control

Med Adjustable clamp base

plate fixing
Med Bolt/Wingnut.

Action by

Date

Area supervisor.

By next
staff
meeting8/7/10

Investigate
footswitch

Low Wear eye protection.

Standard Operating 2/5/10

Base plate moves.
High Provide eye protection in Procedure (SOP)
vicinity of machine,
produced in
Ongoing
include
usage
in
SOP
and
consultation
with
Overseas machine
High
inform staff about its use. operatives.
switches do not meet AS
specification.
Med
SOP hair tied back, not to Operator Ian Wood
wear jewellery, secure
to repair base clamp
Ejection swarf.
loose clothing etc.
fixing - wing nuts.
Electrocution.
Produce SOP for plant. Maintenance
-electrically test.
Investigate provision of
shielded footswitch.

Electrocution.
Desktop
Computer

Area electrical tester.

Ongoing

Back/Arm/Neck injury
OOS (RSI).
Eyestrain.

Epsom Printer

Electrically test every 6

months.
Low Test 5 yearly.

Electrocution.

Med Workstation assessment. Supervisor and staff

member carry out
assessment and
Med Regular breaks/job
organise work.
rotation.

Low Test 5-yearly.

Moving A4
Manual handling injury Use trolley to move
paper boxes eg back, shoulder or neck.
paper, assess load before
from store to
High lifting - seek assistance if
workstation
necessary.
(admin
assistant)
Look at getting paper
delivered to workstation
in smaller packages.

Area electrical tester. Ongoing

Area supervisor to By 7/2/10

make sure trolley
available and to
speak with
caretakers regarding
smaller packages.

1.20.3

Step 3

(Continued.)

Quantitative
Risk Assessment
Staying with the retail outlet, let's consider a theft from the point of
sale using a simple quantitative method:
Thief attempts to take the day's takings from the point of sale machine
while the staff member is at the machine.
Now let's consider the likelihood, the RISK, the Probability of Exposure
(PE) to the considered hazard. We can use the aid below.
Fig 1 below and Fig 2 below are simply an aid to assist you in
calculating the Risk Rating, i.e. the final calculation that allows you to
consider if the risk is acceptable, requires action within a time scale or requires
immediate action.

The calculation used is Probability of Exposure (PE)

plus the Maximum Possible Loss (MPL) multiplied by the
Frequency of Exposure (FE).

(PE + MPL) X FE =
10

Fig 1 Risk Assessment matrix aid

Probability/Risk
Very
Maximum Possible Loss Unlikely

Unlikely

Even
chance

Probable

Very likely

Certain

First Aid Required/short

rest/recovery

Fracture of a major
bone or mild temporary
illness

Loss of limb, eye or

permanent illness

10

Fatality

10

11

Low = 1 - 4

Medium = 5

High = 6 - 11

Fig 2 Frequency of Exposure (FE) calculation aid

Infrequent

Annually

Monthly

Weekly

Daily

Constantly

Based on past experience, it is unlikely that the theft/attack will take place because it has
not happened in the past in any other shop; however, this is a new shop and in an area of
deprivation, high crime and high unemployment.
We do know, however, that the frequency of such events is rare or infrequent.
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1.20.4

Step 3

(Continued.)

Maximum probable loss

A staff member is injured during the theft; either pushed away, falls
and suffers an injury of three days or more lost time. Many persons, but not all
of course, who work in the charity shops are older.

Why do you think it is important to consider the age of a person is this

situation?
Risk Assessment calculation:

Probability Exposure = 2 Unlikely

Maximum Probable Loss = 2 First Aid Required/short rest/recovery

Frequency of exposure = 1

PE = 2 + MPL = 4 X FE 1 = 4
The risk rating has a value of 4 (four)
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Q.

Calculate the hazard rating if the staff member attempts to fight off the

attacker and is severely injured, suffers long term disability or death.

PE = ?
MPL = ?
FE = ?
Risk Rating =
Your risk rating should be no higher than a value of 10 (ten). This is
because the probability has not changed, nor has the frequency of the
event. The only factor that may change is that fighting back may have
more severe consequences for an older person and as such, the
maximum possible loss could be death.

If making an assessment of a missing guard on a power press of 100

tons and we have an untrained, inexperienced operator who lacks
attention, the risk rating could be

PE = 2 Certain
MPL = 5 Death
FE = 1 Constantly
Risk Rating = 7

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Now let's consider a table of actions required and what priority should
be given to a particular hazard rating:

Fig 1.3 Table of timescales.

Risk

Hazard Rating

Action timescale

Low

1 - 21

Within a month

Medium

22 - 35

Within a week

High

35 - 77

Immediately

This really is a guide. In many cases, the hazard will be dealt with
immediately. It really may depend upon resources and the number of hazards
that are being dealt with. In many small businesses, the process of risk
assessment can take as little as one day to complete; hazards are then dealt
with as they arise or in a more proactive management system are dealt with
before they arise.

Large businesses with complex risks will require strategies of risk

management to ensure that hazards are dealt with effectively and in a timely
fashion. Prioritising hazards in this case is essential.

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1.20.5

Implementing Additional Controls

Implement additional control measures where the risk is not
acceptable

Eliminate the hazard.

In this case, the charity shop would consider the controls listed and
consider if the shop was required to be located in the area.

Entrance to the shop to be restricted.

Not practical in this case. However, some jewellery shops do restrict

access for obvious reasons and some newsagents have signs that restrict the
number of children allowed in at any one time.

Install distance guards around point of sale area.

Not practical in this case. You will be aware that banks, post offices and
other places of cash handling adopt this type of protection.
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Have a security guard in place in the shop and patrolling.

Not in this case. The cost for the organisation would be unreasonable.
However, they are seen in larger shops and shopping centres etc.

Train staff in dealing with violence and aggressive situations.

This will help, but not self-defence such as the police force has to
adopt. The training will have to be in `how to defuse a potential violent
situation` and also must ensure that the shop staff understand and follow a safe
method of dealing with such situations. Instructions would include such
actions as: open the till and stand well out of the way, try not to make direct
eye contact and only when the attacker has left the premises, phone the police.
It is common sense really but things go wrong; staff might on an impulse
decide to try and get invovled. You also have to ensure that you employ the
right sort of staff in the first place.

Ensure that the minimum of

cash is kept in the till at any
one time.

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This will reduce the amount of cash lost in a single theft. The fact could also
be advertised in a notice in the window. Many places that handle cash put up a notice
stating their cash machines etc are emptied on a regular basis. It does deter the thief on
some occasions.
What control measure is at the top of the hierarchy in regards priority?

1.
2.

? Reduce exposure
? Place a guard

3.

? Elimination at sourrce

What control measure should be considered as a last resort?

1.
2.

? Substitution
? Training

3.

? Personal protective equipment

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Step 4

1.21

Record your Findings

ake a written record of the Risk

Assessment where five or more employees are

employed at the business.

Of all the steps, this is probably the easiest. This can be produced as a
hard copy or computer-based. Management of such documents may be
required, particularly where many assessments and supporting safe methods of
working are undertaken but we will deal with that later in Managing Data etc.

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1.22

Step 5

- Review

Review the assessment as required.

It may be necessary to review the assessments at regular intervals. The

example above may be required to be reviewed if an incident takes place or
where changes occur in the work place.

In the machine shop or when evaluating the risks of fire, things may
change in the environment or to the premises; this will mean that the
assessment will require further consideration.

Some work activities, environments and operations require specific risk

assessments and have other sets of Regulations; these include:

The Noise at Work Regulations 1989.

The COSHH Regulations 2002.
The Manual Handling Regulations 1992.
The Display Screen Equipment Regulations 1992.
The Regulatory Reform (Fire Safety) Order 2005
[Remember the link between RR(FS)O and MHSWR.]
The Personal Protective Equipment at Work Regulations
1992.

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Match the items on the right to the items on the left.

STEP 2:
STEP 3:
STEP 4:
STEP 5:
Identify the persons at risk
Identify the hazards
Review your assessment and revise it if necessary
Evaluate the risks and decide whether the existing precautions are adequate or whether
more should be done
Record your findings

When would a training risk assessment need to be reviewed?

1.
2.
3.

? When new equipment is introduced

? When new people are introduced
? All of the above

4.

? When legislation changes

Your risk assessment needs to be recorded in a written format when how many employees
are employed?
1.
2.

? 10
? 5

3.

? 3
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1.23

Conclusion
The benefits of conducting risk assessments will be reflected in the

reduction of the chances of an accident, and hence injuries, illness, lost

production and legal consequences

The more assessments you undertake, the better a risk assessor you will
become. However you must have logic in your chosen method, and you will
rely mostly on your experience of the workplace, of the people and your
knowledge of risk assessment in practice.

We have included some risk assessment forms as example for you to consider.

Risk Assessment Principles & Practice (Cont.)

Congratulations - end of lesson reached

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